Financial Advisor Associate - North Windham, Maine

Work Location:

Windham, Maine, United States of America

Hours:

40
Pay: $61,880 - $92,560 USD

• Serve as the primary relationship manager and financial advisor for TD Wealth clients with wealth management advisory needs.
• Analyze client financial information (income, cash flow, assets, liabilities) and understand short- and long‑term goals to recommend tailored investment and insurance strategies.
• Build a client base through proactive acquisition of new clients and ongoing relationship management.
• Educate and advise prospects and clients on investment and insurance products, ensuring the client’s financial interests are always prioritized.
• Conduct periodic reviews and updates to client financial plans, including annual client reviews (ACRs) focused on overall wealth and financial planning.
• Identify and pursue enterprise opportunities, referencing Retail Store staff and engaging key partners across the organization for referrals.
• Maintain all client onboarding processes: discovery, financial needs analysis, documentation, education, and coaching.
• Meet quarterly and annual performance objectives and targets related to client acquisition, retention, and wallet share.
• Use Salesforce, Money Guide Pro, and other authorized software to effectively track client engagement and provide advice.
• Ensure compliance with all federal, state, and SRO regulations, firm policies, and internal procedures, including Customer Identification Program (CIP) and AML requirements.
• Assume continuing education responsibilities and other professional development activities as required by TD Bank & TD Wealth policies.

• Bachelor’s degree strongly preferred; 1+ years of relevant financial services experience or completion of the FAA Trainee program.
• SIE and Series7 licenses required; L&H and Series
  66 (or equivalent) required or a demonstrated ability to obtain within 60 days.
• Self‑directed with strong ability to plan activities and achieve sales and referral goals.
• Comprehensive understanding of wealth products and services.
• Strong verbal and written communication skills; strong organizational and time‑management skills.
• Ability to travel within assigned market, five days a week, and commute within the specified territory.
• Understanding of wealth‑management business‑development techniques and experience interacting with retail and small‑business banking clients.
• Consultative sales experience required with proven ability to establish relationships and partner effectively across departments.
• Knowledge of OCC, FINRA, SEC, and related regulatory environments; eligibility to work under FINRA’s employment standards.

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, status as a protected veteran, or any other characteristic protected under applicable federal, state, or local law.