Client Wealth Relationship Associate
TD Bank Group
North York, Canada
9d ago

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Department Overview

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

Financial :

  • 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.
  • Job Requirements

  • 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
  • Inclusiveness

    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.

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