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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive financial services experience with a focus on investment strategies, client management, and regulatory compliance. Possesses strong analytical skills and the ability to develop tailored investment plans for high-net-worth clients.
Highest-signal resume keywords
Investment Strategy DevelopmentClient Management SkillsFinancial AnalysisConsultative Investment Sales ExperienceRegulatory Compliance
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Investment ConceptsPortfolio ConstructionAsset AllocationFinancial PlanningSales Activity RecordingClient Portfolio MonitoringInvestment Product SupportClient Needs AssessmentInvestment Policy Statement ReviewWealth Management Solutions
Soft Skills
Verbal CommunicationWritten CommunicationMentoringTeam CollaborationSupervisory Ability
Tools & Technologies
Salesforce.comTD Wealth Tool Set
Certifications & Qualifications
Series 7 LicenseSeries 63 LicenseSeries 65 LicenseLife & Health Insurance LicenseCertified Financial Planner (CFP)CIMACAIACFA
Industry Keywords
High-Net-Worth ClientsFINRA ComplianceSEC RegulationsInvestment Policy StatementsWealth ManagementFinancial MarketsInvestment ProductsClient RetentionConsultative SalesRegulatory Guidelines
Tech Stack
Tools & technologiesSFDC
About the role
Key responsibilities & impact- Partner with Relationship Managers to provide comprehensive investment services and sophisticated investment products to high-net-worth clients
- Provide customer-centric service to maximize retention and growth
- Manage a book of business focused on managed account solutions
- Ascertain potential investment needs of TD Wealth clients and increase wallet share
- Support securing new clients with potential investment needs
- Act as primary point of contact for legacy client relationships when applicable
- Mentor junior staff and contribute to team performance and collaboration
- Develop and define client investment strategies using TD Wealth's comprehensive tool set
- Implement investment objectives and strategies for the client base
- Provide investment product support and information to TD Wealth team members
- Introduce investment ideas and solutions to enhance client portfolios
- Monitor client portfolios and recommend or implement changes
- Review fees and asset mix annually for each relationship
- Ensure completion and consistent review of Investment Policy Statements and Individual Wealth Plans
- Grow assets under management
- Refer investment-only clients to Relationship Managers to increase banking and lending product sales
- Record client correspondence, communications, meetings, and sales activity in Salesforce.com
- Ensure proper administration of client accounts and coordination of services in compliance with company policies and applicable laws and regulations
- Ensure new relationships follow account acceptance guidelines
- Ensure client books comply with FINRA, SEC, and TD Bank requirements
- Sell only approved products and services to high-net-worth clients
- Represent TD Wealth professionally to the public
- Participate in community, charity, and community initiatives
- Foster a positive and constructive work environment
- Provide guidance to junior staff
Requirements
What you’ll need- 4-year degree required
- Minimum of 10+ years financial services experience in a production capacity required
- Valid Series 7, 63 + 65 or 66
- Valid and active Life & Health insurance licenses
- Consultative investment sales experience
- Continuing Education requirements must be attained
- In-depth knowledge of investment concepts, industry and practices, including domestic and international financial markets and related legal and regulatory guidelines
- Advanced ability to understand clients' investment goals and develop diversified investment plans and strategies
- Extensive client management skills and experience
- Strong financial analysis and general analytical ability
- Understanding and experience with sophisticated concepts in general taxation and personal financial planning
- Superior verbal and written communication skills
- Supervisory ability
- Strong execution skills
- Experience working within a highly collaborative team environment
- Must be eligible for employment under standards established by FINRA
- Satisfactory criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
- 5+ years' experience in asset allocation and portfolio construction preferred
- MBA or advanced degree preferred
- Certified Financial Planner (CFP) preferred
- CIMA, CAIA or CFA designation preferred
Benefits
Comp & perks- Base salary and variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards
- Health and well-being benefits
- Savings and retirement programs
- Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
- Banking benefits and discounts
- Career development
- Reward and recognition
- Regular career, development, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Occasional domestic travel