Private Client Specialist I - Melville, NY

TD•Melville, NY

10d•$26 - $39•Onsite

About The Position

The Private Client Specialist I provides sales and relationship support to Relationship Managers and Investment Advisors serving high-net-worth clients across banking, lending, and high-net-worth investing. The role primarily manages client onboarding, including timely and accurate new account initiation, transfers, funding, and related communications. It also participates in basic financial planning discussions and client relationship reviews, while providing administrative, analytical, and service support to Relationship Managers, Trust Advisors, Investment Advisors, and other team members. Working under supervision, the specialist executes tasks on required private banking, investment, and trust platforms; supports complex financial transactions; and uses financial planning software. The role may serve as a subject matter expert or primary contact for portfolio information and basic financial planning, and may resolve more difficult client issues. It supports client relationship growth by identifying needs and appropriate banking, lending, and investment solutions, coordinating specialists for complex clients, and identifying opportunities across Wealth, Retail, and Commercial partners. The position also performs account administration and client-service work, maintains databases and computer systems, prepares reports and presentation materials, responds to inquiries, tracks account and project status, and recommends process or technology improvements. The specialist is expected to meet regulatory and firm requirements, support strong team performance, represent TD Wealth professionally, and deliver service consistent with TD standards.

Requirements

Experience in professional services and working with affluent clients is required.
Internal candidates must have at least 3 years of experience working with TD's client platforms.
Series 7 and either Series 63/65 or Series 66 registrations are required; candidates with at least one required registration may be considered, but must obtain all required licensing within the defined period after hire.
A self-starter who can work with minimal supervision.
Strong administrative ability and exceptional organization, including initiative in maintaining a high level of organization.
Essential knowledge of MS Word, Excel, PowerPoint, and contact management databases.
Reasonable knowledge of investments and the ability to generate reports relevant to managing client investment portfolios, with a preference for an administrative support focus.
Ability to manage multiple responsibilities and timelines.
Demonstrated record of delivering results and executing with excellence.
Excellent written and verbal communication skills.
Must satisfy required criminal and financial background investigations, including applicable FINRA-related requirements.
Must be eligible for employment with a covered financial institution and for registration as a mortgage loan originator with NMLS, as applicable to the position.
Must be eligible for employment under applicable FINRA standards and meet related investigation and verification requirements.
Satisfactory criminal background check, credit report check, civil litigation search, regulatory or self-regulatory enforcement action search, and required applicant statements or certifications.

Nice To Haves

Bachelor's degree preferred.
Knowledge of investments, banking, and credit products preferred.

Responsibilities

Coordinate client onboarding with Relationship Managers, including client discovery, introductions to Investment Advisors and Trust Advisors as appropriate, and completion of required client profiling documents.
Initiate and coordinate new account openings, transfers, and fundings, and communicate about their progress accurately and promptly.
Participate in basic financial planning discussions and client relationship reviews; provide portfolio information and basic financial planning support as appropriate.
Anticipate client needs and suggest appropriate banking, lending, and investment solutions to deepen relationships and support profitability while maintaining an exceptional client experience.
Coordinate tax, trust, estate, and other specialists to provide interdisciplinary expertise for complex clients.
Resolve more difficult client issues, problems, and requests, and efficiently respond to inquiries or direct them to the appropriate person or area.
Identify opportunities within client portfolios to connect clients with Retail, Commercial, and other Wealth partners.
Comply with applicable federal and state regulations, SRO requirements, firm policies, and continuing education requirements; adhere to TD Wealth FCRM/ATF policies and procedures.
Implement the Customer Identification Program by collecting and verifying customer identification information and completing applicable due diligence requirements.
Provide administrative, analytical, and service support to assigned team members, including filing, report generation, presentation materials, written proposals, and spreadsheet reporting.
Assist with account administration, retention, specialized services, and other responsibilities within the relevant wealth management area.
Maintain databases and computer systems by entering and updating transactional and other information, ensuring data accuracy, and preparing reports as required.
Keep team members informed about account administration, retention, and project status; guide and direct others as necessary and act as a specialist resource.
Complete assigned administrative and client-service tasks within policy and operating procedures, and complete applicable specialized training.
Identify and recommend technology or process improvements that could improve productivity or client satisfaction.
Represent TD Wealth professionally, contribute to team collaboration and performance, support community initiatives, and ensure service reflects TD standards and guiding principles.