FP Client Service Associate

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

TD Wealth

Pay Details:

$52,700 - $74,400 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

KEY ACCOUNTABILITIES

CUSTOMER

• •Respond to FP/client inquiries promptly and accurately; proactively providing options and solutions including timely follow-up
• •Create a positive FP, client and business partner experience at every interaction and look for ways to contribute to the ongoing improvement of the overall FPS&S and client experience
• •Submit, and follow up on new account, transfer and other documents to ensure completion, advising the Financial Planner or client as required
• •Investigate, resolve, and follow up on Financial Planner and client issues, providing viable solutions or options
• •Provide documents/information that effectively supports the needs of the Financial Planner, detailing FP action as appropriate
• •Proactively notify FPs of ongoing updates, Daily News Postings, policy changes, etc. that may affect their practice or daily routines
• •Contribute to the timely and accurate completion of new account openings, account transfers, cash transfers, iForms, and other administrative and transactional requests
• •Develop and foster strong productive relationships with the Financial Planners, their clients and our operations team
• •Assist Financial Planners in daily business activities efficiently and effectively to ensure a legendary client experience while adhering to policies and procedures
• •Be the number one resource for the Financial Planner
• •Efficiently manage FP expectations through strong verbal and written communication skills
• •Take ownership of all transactions, ensuring account maintenance, operations and escalations are processed in a timely and satisfactory matter
• •Assist clients with inquiries and requests and proactively contact clients for appointment booking, seasonal opportunities and statement reviews acting as an extension of the Financial Planner's business
• •Provide the Financial Planners with sales support by identifying net asset growth and revenue opportunities and reaching out to prospective clients

SHAREHOLDER

• •Act as a brand champion for FPSS and bank, both internally and externally
• •Be knowledgeable of practices, policies and procedures, complying with TDGB & IIROC codes of conduct and securities laws and regulations
• •Prioritize and manage workflow to ensure quality, efficiency and timeliness
• •Maintain a culture of risk management and control, identifying risks and escalating matters when appropriate
• •Supervise day-to-day operations / activities, balance workloads, ensure compliance to internal / external requirements and the achievement of service level standards and productivity targets
• •Resolve escalated matters and refer complex issues / situations beyond own level of expertise
• •Ensure adherence to operating standards and processes – perform quality checks and validation of work
• •Review and/or update procedures ensuring all functions and systems are well documented
• •Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists
• •Identify operational issues and recommend improvements, may provide support during implementation of new process changes
• •Apply knowledge of systems, programs and services, and external requirements, in achieving efficiency and productivity objectives for the group
• •Ensure that employees are aware of the impact of their work on the activities of others outside of their function/unit

EMPLOYEE / TEAM

• •Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• •Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
• •Promote a positive work environment and culture of innovation, teamwork, diversity and performance
• •Support the team by continuously enhancing knowledge/expertise and proactively identifying opportunities for improvement within the department, participating in department initiatives and projects
• •Actively participate in personal development activities and initiatives
• •Proactively offer support and coverage for the team and the RTA (Relationship Team Approach)
• •Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• •Participate in personal performance management and development activities, including cross training within own team
• •Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• •Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
• •Contribute to a fair, positive and equitable environment that supports a diverse workforce

BREADTH & DEPTH

• •Requires specialized expertise and performs multiple and/or diverse tasks that are highly complex, involving multiple steps, systems, and jurisdictions
• •Transactions and activities require expert knowledge across a broad range or variety of products, processes or systems within own area of specialty and where transactions could be characterized by moderate to high risk
• •Gather and analyse data to identify and solve complex problems, escalates as required
• •Use sound judgement and understanding of process/policy risk when recommending exceptions outside general practices or guidelines.
• •Generally interacts with internal customers / partners for functions performed and/or external customers
• •May provide process / policy guidance to others (e.g. within team, internal partners)
• •Focus of work is weekly, monthly and/or longer with addition of ad-hoc and initiative-based requests, as required
• •Process subject matter expert in a range of technical processes and procedures through job related training and considerable on the job experience to perform a range of work assignments
• •Requires advanced knowledge of the business unit / operational functions as well as regulatory issues/ requirements for jurisdictions supported
• •May involve cross-functional teams across TD and/or involving external contacts
• •Generally reports to a Manager Financial Planning Support

EXPERIENCE & EDUCATION

• •University/College Diploma and/or minimum 2 years of industry experience
• •Canadian Securities Course (CSC) required
• •Complete Conduct & Practices Handbook (CPH) within first 90 days in role
• •Complete Wealth Management Essentials (WME) within 18 months in role

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their s