Private Client Investment Advisor II - New York, NY

Demonstrates commitment to customer-centricity and legendary service to maximize retention and growth.,Proven track record for managed account solutions book of business.,Partners closely with Private Client Relationship Managers to identify potential investment needs and increase client wallet share.,May work with more complex clients.,Supports securing new clients with Private Client Relationship Managers.,May act as primary point of contact for legacy client relationships.,Contributes individually, as a team member, and mentors junior staff.,Develops and defines client investment strategy using TD Wealth's comprehensive tools.,Implements investment objectives and strategies for the client base.,Provides support and information to all TD Wealth team members and partners regarding investment products.,Proactively introduces new investment ideas and solutions using advanced investment knowledge.,Monitors client portfolios and recommends/implements changes as necessary.,Annually reviews fees and asset mix for each relationship.,Ensures completion and consistent review of Investment Policy Statements and Individual Wealth Plans.,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.,Manages expense budget appropriately to support client and business activities.,Records client correspondence, communications, meetings, and sales activity in SalesForce.com.,Ensures proper administration of client accounts and coordination of services in compliance with company policies and regulations.,Ensures all new relationships follow proper account acceptance guidelines.,Ensures all client books conform to FINRA, SEC, and TD Bank legal and regulatory requirements.,Ensures only approved products and services are sold to HNW clients.,Represents TD Wealth professionally to the public.,Involved in community and supports TDBG charity and community initiatives.,Fosters and contributes to a positive and constructive work environment.,Provides guidance to junior staff.

4-year degree required, MBA or advanced degree preferred.,Minimum of 10+ Years financial services experience in a production capacity (track record for meeting sales goals) required.,Valid Series 7, 63 + 65 or 66 licenses required.,Valid and active Life & Health insurance licenses required.,Certified Financial Planner (CFP) preferred.,CIMA, CAIA or CFA designation preferred.,5+ years' experience in asset allocation and portfolio construction preferred.,Consultative investment sales experience.,Attainment of all Continuing Education requirements.,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 client investment goals and objectives and develop a diversified investment plan.,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.,Must be eligible for employment under standards established by FINRA.,Subject to investigation and verification requirements of FINRA Rule 3110(e).,Satisfactory results on criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search required.,Statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization required.

Bachelor's Degree

Occasional domestic travel,Requires security clearance (implied by background checks and FINRA rules)