Financial Advisor Jobs

About The Position

Requirements

• At least 2 years of experience providing advice, financial planning, and investment sales.
• SIE, Series 7, and Series 63 licenses are required.
• Life and Health (L&H) and Series 66 licenses (or equivalent), or the ability to obtain them within the Licensing and Registration Schedule.
• Self-directed, with the ability to plan activities to achieve sales and referral goals.
• Advanced understanding of wealth products and services.
• Strong verbal and written communication skills.
• Strong organizational and time-management skills.
• Ability to travel within the assigned market to meet prospects, clients, and partners five days a week, and to commute within the assigned territory.
• Strong understanding of wealth management business development techniques.
• Experience and strong understanding of interactions with retail and small business banking clients.
• Consultative sales experience.
• Demonstrated ability to establish relationships and partner effectively with other departments.
• Proven ability to achieve sales goals.
• Must be eligible for employment under FINRA standards and satisfy applicable investigation and verification requirements, including required background, credit, civil litigation, and regulatory or self-regulatory organization checks.
• Bachelor’s degree strongly preferred.

Responsibilities

• Review clients’ financial goals and make investment recommendations aligned with those goals.
• Provide financial planning guidance and sell investment management solutions.
• Serve as the primary point of contact for TD Wealth client relationships and manage all aspects of clients’ relationships with TD Bank.
• Complete new-client onboarding, including client discovery, financial needs analysis, introductions to centralized servicing as appropriate, and required documentation.
• Ensure new and existing clients receive a planning experience and conduct Annual Client Review meetings with an agenda focused on clients’ overall wealth needs, along with proactive contacts.
• Deliver customer-centric service to maximize client retention and growth.
• Partner with others and promote lead generation; manage goals and prioritize tasks in a fast-paced environment.
• Meet quarterly and annual sales goals and deepen wallet share by anticipating needs and recommending appropriate Wealth solutions while maximizing profitability and maintaining an exceptional client experience.
• Refer business to Retail, Small Business, and Commercial partners, and refer clients to Retail and Wealth partners and affiliates as needed.
• Identify opportunities within the portfolio and network, uncover client assets, and transition higher-threshold clients to appropriate high-net-worth Wealth partners when needed.
• Execute business activities in compliance with applicable regulations, policies, and procedures, including customer identification and due diligence requirements.
• Complete all required continuing education and adhere to TD Bank and TD Wealth policies and procedures.
• Foster a positive, constructive work environment and support the overall Wealth team.
• Provide coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
• Contribute as an individual, team member, and mentor to new Financial Advisors; support collaboration and strong team performance.
• Represent TD Wealth professionally to the general public and participate in community and TDBG charitable initiatives.
• Support the Bank’s customer service strategy, provide high-quality service to internal partners, vendors, and customers, and contribute to ongoing improvements in customer and partner experience.
• Communicate project and issue status to the team, share information and knowledge, and learn from colleagues.
• Travel within the assigned market and territory to meet prospects, clients, and partners five days a week.

Benefits

• Base salary and variable compensation or incentive awards, potentially including cash and/or equity incentive awards through 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, training programs, mentoring programs, and an online learning platform.
• Reward and recognition programs.