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TD Wealth Private Investment Advice (PIA) is a full-service brokerage ideal for investors who are looking for professional, custom-
tailored wealth planning and investment solutions, while maintaining participation in the decision-making process regarding their financial affairs.
We work one-on-one with clients to design and implement a comprehensive investment strategy, recommend customized investment solutions and provide on-
going portfolio monitoring and performance reporting aimed at enhancing the client’s financial success over the long-term.
Job Type Regular Job Status Full Time Hours 37.50 Business line TD Wealth Job Category - Primary Wealth Management Job Category(s) Wealth Management Job Description
Experience with Bulk trading for Discretionary accounts
Good understanding of Discretionary account platform
Create reports for analysis of client accounts
Understand TDW PIA Product offerings and unique investment instructions
Actively support the IA and branch in achieving the branch’s annual business goals and reciprocal referral goals
Assist IA with reporting for analysis of client accounts if and when required
Business Operations - Product & Process Knowledge / Compliance & Risk Management
Take ownership and resolve issues, complete requests and follow up to ensure client satisfaction :
Maintain an accurate and current database of client information (account administration, KYC updates etc). Complete with little need for follow-
up by IA and / or deficiencies due to having a high level of expertise in dealing with the back office
Product expertise in Fee Based Business (Cornerstone, Premier, Managed)
Express a proactive interest and understanding of the Financial Markets by following the news, reading newspapers and financial magazines / websites
Apply a lean Six Sigma lens to processes to identify efficiencies and areas for improvement
Support Branch audit by preparing for it and to ensure a successful one for the branch
Maintain current knowledge of, and comply with, all compliance regulations, securities laws, risk & confidentiality requirements and the TD Codes of Conduct & Ethics
Identify risks to the business and develop plan to mitigate them as appropriate
Develop additional reporting that will support Branch’s overall targets and goals; scorecards, dashboards, etc
Ensure well managed BDA budget to maximize delivery on marketing activities
Client - Business / Relationship Management & Client Service / Planning
Active involvement in the building and managing of the IA’s book of business :
Participate in client meetings and the IWP process
Leverage financial planning expertise to produce high quality plans that exceed the expectations of clients through a well-
documented IWPS (NaviPlan)
Act as a secondary contact to the Investment Advisor for client relationships
Develop relationships with existing clients and external referral sources to build sales and market share and working with other TD Canada Trust and TD Wealth partners such as Private Banking, HNW Planning, Insurance etc.
Identify referral and sales opportunities with current and target clients to TDCT and other wealth considerations
Assist IA in creating and implementing integrated and customized solutions based on the client’s unique needs
Identify and coordinate client segmentation of the IA’s book
Plan regular client seminars / events that align with IA’s business strategy and target audience
Assist in the team’s marketing efforts with the design of branded materials, layout of commercial advertisements, occasional writing or editing of marketing pieces and leveraging social media
Establish and maintain relationships with IA Bank Branches in support of the IA
Adhere to all compliance requirements as outlined in PIA’s policies and procedures. This includes all aspects of new and existing account documentation and marketing materials.
Required : Completion of the Canadian Securities Course and Conduct and Practices Handbook
Required : Licensed with Investment Industry Regulatory Organization of Canada (IIROC) as a Registered Representative (RR)
Desirable : Undergraduate Degree or Community College Diploma
Desirable : PFP, CFP,
Other Qualifications / Skills / Experience :
Minimum of 5 years' experience in related role
Ability to proactively identify the needs of the client
Incorporate the Client Experience into daily routine
Build a strong rapport with clients, prospects and COI’s with ease
Act as a go-to person in the branch, in which others can go to for help / training / mentoring
Proactively maintain open communication with IA / team
Active involvement in CSA / Branch meetings & sharing ideas
Possess excellent communication skills, both written and oral
Analytical, affinity for data, numbers and segmentation
Detail oriented and highly organized
Ability to work in a fast-paced and dynamic environment.
Expert use of industry / firm software (Croesus, ISM, Thomson ONE, NaviPlan, Order Management)
Advanced use of Excel, Word and PowerPoint for the preparation of documents for prospects, clients and marketing materials with minimal guidance from IA
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported.
We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve.
If you require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.