Private Client Investment Advisor II NY

Position: Private Client Investment Advisor II  NY
Location: City of White Plains

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*** Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
* Extensive track record for managed account solutions book of business. (i.e., fiduciary vs. suitability)
* Partners closely with Private Client Relationship Managers to ascertain potential investment needs of TD Wealth clients to increase wallet share
* May work with more complex clients
* Partners with Private Client Relationship Managers in support of securing new clients with potential investment needs
* May act as primary point of contact for legacy client relationships (i.e., Advisors legacy book of business)
* 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 Private Client apart from our competitors
* Using TD Wealth's comprehensive tool set, works with clients to develop and define their investment strategy
* Implements investment objectives and strategies for client base
* Provides support and information to all TD Wealth team members and partners with respect to investment products
* Uses advanced knowledge of Investment Products and concepts to proactively introduce new investment ideas and solutions to enhance the client's portfolio
* Monitors client portfolios and recommends / implements changes as necessary
* Annually reviews fees and asset mix for each relationship
* Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship
* Accountable for positive net growth in assets under management
* Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales
* Uses expense budget appropriately to support Client and business activities
* Records Client correspondence, communications, meetings and sales activity in  as appropriate
* Ensures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations
* Ensures all new relationships are following proper account acceptance guidelines
* Ensures that all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC and TD Bank
* Ensures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policies
* Represents TD Wealth to the general public in a professional manner
* Be involved in your community and support TDBG charity and community initiatives
* Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team.
* Provides Guidance to junior staff
* 4-year degree required, MBA or advanced degree preferred
* Preferred a minimum of 10+ Years financial services experience in a production capacity (i.e., track record for meeting sales goals) required
* Valid Series 7, 63 + 65 or 66
* Valid and active Life & Health insurance licenses
* Certified Financial Planner (CFP), preferred
* CIMA,…