Private Client Investment Advisor II - New York, NY

TD Bank • White Plains, NY

23h • Onsite

About The Position

The Private Client Investment Advisor II partners with Relationship Manager to provide comprehensive investment services including sophisticated investment products to HNW clients. The Investment Advisor will utilize their technical investment expertise to provide comprehensive investment services and solutions to meet the needs of clients. The Private Client Investment Advisor delivers comprehensive wealth management and investment advisory services to high‑net‑worth individuals and families and assumes responsibility for an established book of business. The role emphasizes deepening existing client relationships through personalized planning, portfolio management, and ongoing advice, with a required consistent in‑office presence. While serving clients across the broader NYC Metro area, the position is primarily focused on in‑person meetings in Westchester County, NY and Fairfield County, CT .

Requirements

• 4-year degree required, MBA or advanced degree preferred
• Preferred a minimum of 10+ Years financial services experience in a production capacity (i.e., track record for meeting sales goals) required
• Valid Series 7, 63 + 65 or 66
• Valid and active Life & Health insurance licenses
• 5+ years' experience in asset allocation and portfolio construction preferred
• Consultative investment sales experience
• Ensures all Continuing Education requirements are attained
• In-depth knowledge of investment concepts, industry and practices, including understanding of domestic and international financial markets and related legal and regulatory guidelines
• Advanced ability to understand the clients investment goals and objectives and develop a diversified investment plan and strategy
• Extensive Client management skills and experience, with proven ability to build and maintain strong and productive working relationships
• Strong financial analysis and general analytical ability, including understanding and experience with investment concepts
• Understanding and experience with sophisticated concepts in general taxation and personal financial planning
• Systematic, integrated and critical thinker with flexibility and ability to think out of the box to provide solutions to meet a variety of business/market needs
• Superior communication skills, both verbal and written
• Supervisory ability
• Strong execution skills and action oriented
• Must have experience working within a highly collaborative team environment
• Must be eligible for employment under standards established by FINRA.
• Subject to the investigation and verification requirements of FINRA Rule 3110(e)
• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position

Nice To Haves

• Certified Financial Planner (CFP), preferred
• CIMA, CAIA or CFA designation preferred

Responsibilities

• Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
• Extensive track record for managed account solutions book of business. (i.e., fiduciary vs. suitability)
• Partners closely with Private Client Relationship Managers to ascertain potential investment needs of TD Wealth clients to increase wallet share
• May work with more complex clients
• Partners with Private Client Relationship Managers in support of securing new clients with potential investment needs
• May act as primary point of contact for legacy client relationships (i.e., Advisors legacy book of business)
• Contributes individually, as a team member and as a mentor to more junior staff, to ensure strong performance, collaboration and enthusiasm that set TD Wealth Private Client apart from our competitors
• Using TD Wealth's comprehensive tool set, works with clients to develop and define their investment strategy
• Implements investment objectives and strategies for client base
• Provides support and information to all TD Wealth team members and partners with respect to investment products
• Uses advanced knowledge of Investment Products and concepts to proactively introduce new investment ideas and solutions to enhance the client's portfolio
• Monitors client portfolios and recommends / implements changes as necessary
• Annually reviews fees and asset mix for each relationship
• Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship
• Accountable for positive net growth in assets under management
• Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales
• Uses expense budget appropriately to support Client and business activities
• Records Client correspondence, communications, meetings and sales activity in SalesForce.com as appropriate
• Ensures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations
• Ensures all new relationships are following proper account acceptance guidelines
• Ensures that all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC and TD Bank
• Ensures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policies
• Represents TD Wealth to the general public in a professional manner
• Be involved in your community and support TDBG charity and community initiatives
• Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team.
• Provides Guidance to junior staff

Benefits

• Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
• Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level