Compliance Associate
FINRA
Financial Advisor
TD
full-time
Posted on:
Location Type: Office
Location: Springfield • Virginia • 🇺🇸 United States
Visit company websiteSalary
💰 $100,000 per year
Job Level
JuniorMid-Level
About the role
- Provide financial planning guidance and sell investment management solutions for Mass Affluent clients
- Serve as central point of contact responsible for client service and relationship development
- Conduct thorough client discovery, complete a financial needs analysis, and onboard new clients with required documentation
- Introduce clients to centralized client servicing team and coordinate referrals to Retail and Wealth partners as needed
- Implement Annual Client Review meetings and proactive client contact processes
- Partner and promote lead generation; meet quarterly and annual sales goals
- Deepen wallet share by identifying client needs and recommending appropriate Wealth solutions
- Execute a differentiated service model for MA clients and maximize profitability while ensuring exceptional client experience
- Implement TD’s Customer Identification Program (CIP) and perform Customer Due Diligence/Enhanced Due Diligence per AML procedures
- Ensure compliance with federal, state, SRO regulations and firm policies
- Provide coaching, referral training and mentorship to Retail, Small Business staff and new Financial Advisors
- Represent TD Wealth professionally and participate in community and charity initiatives
Requirements
- Bachelor's degree strongly preferred
- 2+ years of providing advice, planning and investment sales
- Required Licenses & Registrations: SIE, Series 7, Series 66 (or equivalent), Life and Health
- Self-directed, with strong ability to plan own activities to achieve sales and referral goals
- Advanced understanding of wealth products and services
- Strong verbal and written communication skills
- Strong organizational and time management skills
- Ability to travel within assigned market to meet prospects, clients and partners five days a week
- Ability to commute within assigned territory
- Strong understanding of wealth management business development techniques
- Consultative sales experience required
- Demonstrated ability to establish relationships and partner effectively with other departments
- Proven ability to achieve sales goals
- Must be eligible for employment under standards established by FINRA; subject to criminal background check, credit report check, civil litigation search, and regulatory enforcement action search
- Ensures all Continuing Education requirements are attained
Benefits
- base salary and variable compensation/incentive awards
- health and well-being benefits
- savings and retirement programs
- paid time off (Vacation PTO, Flex PTO, and Holiday PTO)
- banking benefits and discounts
- career development
- reward and recognition
- training and onboarding sessions
- access to online learning platform and mentoring programs
ATS Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
financial planninginvestment managementfinancial needs analysiswealth productsconsultative salescustomer due diligenceenhanced due diligencesales goal achievementclient onboardinglead generation
Soft skills
relationship developmentstrong communicationorganizational skillstime managementself-directedmentorshipcoachingcollaborationclient serviceproactive client contact
Certifications
SIESeries 7Series 66Life and Health
