Wealth Client Support Supervisor - Marlton, NJ

TD • Mount Laurel, NJ

2d • $91,000 - $136,240 • Onsite

About The Position

The Wealth Client Support Supervisor serves two primary functions: 1) They coordinate communication with multiple areas of the wealth management business (including, but not limited to, distribution, supervision, product, operations, legal, compliance, technology) in designing and implementing process development and the procedural framework necessary to operate the business efficiently within regulatory requirements. 2) They hire, lead, and manage teams that support the sales and service activities of high net worth, institutional, mass affluent, and other division areas.

Requirements

• Associates degree and/or bachelor's degree
• 7+ years of related experience (preferably in the financial industry)
• Series 24 or 9/10, 7, 63/65 or 66 required
• Demonstrated experience solving complex service issues
• In-depth knowledge of investments, banking, and credit products
• Demonstrated organizational and time management skills
• Demonstrated ability to problem solve and work independently
• Experience in professional services and with working with affluent clients is required
• Knowledge of MS Word, Excel, PowerPoint and working with Contact Management databases is essential
• Demonstrates ability to manage multiple responsibilities and timelines
• Proven track record of delivering results and executing with excellence
• Ability to multitask and manage competing priorities effectively
• Excellent written and verbal communication skills
• Must be eligible for employment with a covered financial institution under the standards established by Regulation Z of the Truth in Lending Act, 12 CFR Part 1026.36.
• Must be eligible for registration as a registered mortgage loan originator with the NMLS (Nationwide Mortgage Licensing System and Registry) in accordance with the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act), 12 U.S.C. §§ 5102 et seq., and its implementing regulations, 12 CFR Part 1007.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.
• 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, or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

Nice To Haves

• Supervisory experience is preferable but not required

Responsibilities

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
• The Client Support Supervisors serve as subject matter experts for the primary services provided by the wealth management division: managed investment accounts on TDPCW platform, brokerage investment accounts on the TDPCW platform, Trust and Investment accounts on the TDBNA platform including Trustdesk, wealth depository services, wealth lending services
• Responsible for implementing process changes to adhere to newly identified control gaps or introduction of additional regulatory requirements
• Responsible for overall process improvement including the reduction of NIGOs and/or improved delivery of service level agreements
• Supervision of escalated situations/cases, including the review/decisioning of identified items
• Partner with the Principal Review Unit and distribution to assist with NIGOs and guideline interpretation
• Work with the overall supervision and compliance teams to identify potential risks, trends, and patterns
• Collects concerns and feedback from Distribution team
• Assists the technology partners in prioritizing needs of business
• Provides coaching sessions for consistent use of RM and IA tools
• Provides role clarity for account opening and service requests using RM and IA toolkits for consistency
• Leads efforts improving efficient workflow, managing SMEs for all items effecting sales and service support
• Leads and manages a team that demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
• Leads and manages a team that ensures all NEW clients receive the complete onboarding experience, which includes a thorough client discovery leading to a truly exceptional Client Experience, An introduction to the IA and TA as per client need, and the Completion of all requisite client profiling documents
• Recognizes gaps and trends to identify opportunities for process improvement
• Summarizes and highlights important information, incorporating changes and feedback as needed
• Audits staff on a regular basis
• Trains new staff members and other related departments in client service, policies, practices, and procedures including account opening, maintenance, and general service
• Resolves client service-related problems, including operational or compliance issues
• Handles customer complaints and other issues requiring escalation
• May Lead a team that works with less complex clients; may bring in subject matter experts earlier in the client relationship; ensures those existing clients, where it would add value, are provided with a Private Client Planning Experience
• May Lead a team who serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the client's relationships with TD Bank; executes a differentiated service model/experience for HNW clients
• May Lead a team who deepens wallet share by anticipating client needs and suggesting the most appropriate banking, lending and/or investment solutions; maximizes profitability, while ensuring the client receives an exceptional client experience; leverages and coordinates specialists (Taxes, Trust and Estate) to provide interdisciplinary expertise for our most complex clients; identifies opportunities within portfolio and network to refer business to Retail, Commercial and Wealth Partners
• Ensures team executes in a manner that is compliant with regulations, policies, and procedures; understands and adheres to TD Wealth AML/ATF Policies and Procedures
• Ensures team adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g., OCC, SEC, FINRA etc.); ensures all Continuing Education requirements are attained
• Ensures team implements TD's Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures; effectively implements a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the clients overall wealth needs, as well as a minimum of two annual pro-active contacts
• Ensures team transitions lower threshold clients to appropriate Wealth Partners, as needed, to ensure capacity for target market clients
• Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that sets TD Wealth apart from our competitors

Benefits

• base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan)
• 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
• reward and recognition

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Associate degree