Work Location:
Portland, Maine, United States of America

Hours:
40

Line of Business:
TD Wealth

Pay Detail:
$110,760 - $166,400 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

• Focuses on gathering institutional client assets and fee generation by partnering with TDW Private Client Relationship Managers (RMs), TD Bank partners, and external contacts in assigned market
• Deepens wallet share by anticipating client needs and suggesting the most appropriate solutions
• Goals based sales position
• Deepens wallet share by identifying and introducing HNW individuals at Institutional client firm to Private Client RM
• Meets quarterly and annual goals for investments, Brokerage and Trust business
• Demonstrates a commitment to being customer-centric by ensuring legendary service is provided during every customer interaction to maximize retention and growth
• Works with dedicated Institutional client services team to ensure all NEW clients receive the complete on-boarding experience
• Effectively partners with the Institutional Investment Advisor and CSAs to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs, as well as a minimum of two annual pro-active contacts
• Serves as the primary point of contact for TD Wealth entity relationships; manages all aspects of the entity's relationships with TD Bank
• Implements and executes a differentiated service model/experience for Institutional clients
• Leverages and knows when to coordinate specialists (Retirement, Captive, Corporate Trust and Custody, and Not for Profit) to provide expertise for our most complex clients
• Identifies opportunities within your portfolio and network to refer business to Retail and Commercial Partners
• Executes in a manner that is compliant with regulations, policies and procedures
• 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
• Is responsible for understanding and adhering to TD Wealth AML/ATF Policies and Procedures
• Is responsible for implementing TDs 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
• Is responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
• Participates in training to help Financial Advisors and Retail staff to identify referral opportunities for entity relationships
• 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 apart from our competitors
• Represents TD Wealth to the general public in a professional manner
• Is involved in the community and support TDBG charity and community initiatives

• 4-year degree or related work experience required, MBA or advanced degree preferred
• 10+ Years of related experience
• Series 7, Series 63 & 65 or Series 66 or ability to obtain within licensing & registration timeline
• Certified Financial Planner (CFP) or Certified Financial Analyst (CFA), preferred
• Documented expertise in developing and closing institutional business such as investment management, employee benefit, custody, endowments, foundations, captive insurance, cash management, etc.
• Advanced understanding and experience with commercial banking relationships and experience interacting with institutional clients
• Consultative sales experience recommended
• Proven ability to establish relationships and partner effectively with other departments or business units who have a vested interest with the same client base
• Proven business development track record
• Strong market presence with wide network of outside referral sources for new business
• High level of personalized relationship management skills, specializing in institutional clients and including ability to work with wide variety of clients and provide an exceptional level of service
• Strong credit and financial analysis skills
• Self-motivated, able to work independently, as well as part of a team - working well with other team members and keeping all relevant individuals, including management, up to date in a timely manner
• Ability to work within an organization to influence and get things done without direct authority
• Organized self-starter with ability to work independently with little direct guidance
• Refined negotiation skills
• Excellent communication skills, both verbal and written
• Proficiency in Microsoft Applications (PowerPoint, Excel, Word)
• Membership in civic and professional organizations and/or board membership encouraged
• Must have experience working within a highly collaborative team environment
• Subject to qualifying certification process at TD Private Client Wealth

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• 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, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.