Private Client Investment Advisor II - Melville, NY

TD•Melville, NY

6d•$124,280 - $186,160•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.

Requirements

4-year degree required
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
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

MBA or advanced degree preferred
Certified Financial Planner (CFP), preferred
CIMA, CAIA or CFA designation preferred
5+ years' experience in asset allocation and portfolio construction 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