Financial Advisor Associate - Augusta, Maine

Position Summary

Financial Advisor Associate (FAA) –Augusta, Maine, United States. 40‑hour work week. Salary range: $61,880 –$92,560 USD. Principal responsibility is to attract, retain, and manage clients’ wealth management advisory needs across an assigned territory.

• Meet with prospects and existing clients to analyze financial information (income, cash flow, assets, liabilities) and understand short‑ and long‑term goals.
• Recommend and sell personalized investment and insurance strategies and products that align with clients’ objectives.
• Maintain and grow client relationships through regular communication, ongoing consultation, and annual reviews.
• Execute a comprehensive onboarding process, including client discovery, financial needs analysis, document completion, and education on wealth referral strategies.
• Use Salesforce, Money Guide Pro, and other authorized software to track engagement and provide advice.
• Mentor and coach Retail Store staff in identifying referral prospects and building client acquisition skills.
• Identify enterprise opportunities and collaborate with partners across the organization.
• Ensure compliance with all federal, state, and company regulations (OCC, SEC, state insurance commissioners, NY DFS, etc.) and maintain required continuing education.
• Implement the Customer Identification Program (CIP), performing required due‑diligence and enhanced due‑diligence procedures.

• Bachelor’s degree or equivalent.
• 1+ years of relevant financial services experience or completion of the FAA Trainee program.
• Strong verbal and written communication, organization, and time‑management skills.
• Self‑directed, proactive, and able to plan activities to meet sales and referral goals.
• Understanding of wealth‑management products and business‑development techniques.
• Knowledge of retail and small‑business banking clients.
• Commitment to providing objective, fiduciary advice and adhering to ethical standards.

• Securities Industry Essentials (SIE) and Series7 required.
• L&H and Series
  66 (or equivalent) required, or ability to obtain within the licensing schedule.
• Eligibility for employment under FINRA and related regulatory requirements.

TD Bank is an equal‑opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, veteran status or any other characteristic protected by law.

Competitive salary with variable compensation, health and well‑being benefits, retirement programs, paid time off, and a range of professional development opportunities.