Internal Sales & Service Support Leader, US Wealth

Wealth
Job Description:

Wealth Internal Sales and Service Support Leader, US is responsible for managing:

1. FINRA registered Client Service Supervisors who oversee the centralized service team
2. centralized FINRA registered sales representatives
3. supervisory responsibilities to ensure that all FINRA /SEC Regulations are being met within centralized service and sales teams

Wealth Internal Sales and Service Support Leader is responsible for all people management accountabilities and works in partnership with the Wealth Market Leaders and other sales leadership. This role will establish consistent practices across the footprint, ensuring best practices and policies are created and followed. This position collaborates with Products & Services, Operations and Compliance colleagues to help train service and sales employees on new operational processes, platforms, and standard operational procedures. Wealth Internal Sales and Service Support Leader changes and implements management strategies, handles escalated client service issues, identifies and brings attention to any areas of risk and provides support for national key strategic initiatives to drive growth. The Wealth Internal Sales and Service Support Leader will interact with business partners to ensure the development and implementation of efficiencies and process improvements are executed across the markets. Wealth Internal Sales and Support Leader will monitor expenses/budgets, manage administrative processes, address Human Resources issues, and coordinate the transition and onboarding process for new service and sales staff. The job may coordinate with other team leads identified within the national footprint for larger scale projects and program management. This job provides high level support to WMLs and the Senior Executive Leadership team and acts as a critical expert representing the centralized service/sales teams on all integrated business initiatives, collaborating with other TD Wealth partners on the development of initiatives and execution strategies. Wealth Internal Sales and Service Support Leader identifies key actionable business issues and influences business partners to act based on research results and data. Wealth Internal Sales and Service Support Leader interacts directly with the Head of Distribution regarding strategic decisions.

Depth & Scope:

Manage Client Service Supervisors

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Drives operational, client and employee related connectivity of front, middle and back office to streamline processes, increase efficiencies, create footprint policies and procedures, and a risk control environment. Key area of focus will include, but not be limited to Service Model Standard, Client Experience Standards, Onboarding and Training, Salesforce Training and implementing key business initiatives as directed.

• Coordinates and/or develops training/education workshops with emphasis on client service

• Promotes a consistent legendary Customer Experience with a focus on growth, productivity, sales effectiveness, and compliance and risk management across the footprint

• Works to develop a formal Associate On-Boarding process, Client On-Boarding/The Entire Client Experience, and Service model delivery standard

• Analyzes team performance, provides feedback, guidance, training and encouragement to impact efficiency

• Leads the associate off-boarding process to assure timely closure of access and monitoring of e/voice mails

• Leverages Client Service Supervisors to provide product review feedback as well as product/process improvement discussions

• Ensures Client Service Supervisors utilize capacity planning software

• Maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls

• Communicates processes, updates, and policies to employees for proper utilization of bank systems and applications

• Guides team on process changes and communication of implementation of new processes

• Reviews and develops processes to prevent losses and execute cost saving measures

• Develops, administers, and updates procedures and policies to support business growth

Manage Centralized Sales Representatives

• Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required

• Drives sales and revenue growth by developing and managing a team of centralized registered sales representatives

• For centralized sales team, coordinates with all interested parties (marketing, field, operations, etc.) to create client action plan that can be managed and checked in Salesforce

• Coordinates and/or develops training/education workshops with emphasis on sales skills

• Analyzes team performance, provides feedback, guidance, training and encouragement to impact revenue growth

• Maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls

• Communicates processes, updates, and policies to employees for proper utilization of bank systems and applications

Supervision of FINRA Registered Employees

• Responsible for supervising registered employees under FINRA registration
• Responsible for compliance with and strict adherence to all FINRA/SEC regulations and ensuring the teams pass all periodic audits
• Responsible for ensuring the teams follow TDPCW supervision policies and procedures as prescribed by the firm, including, but not limited to:

  • Supervision of registered employees in their jurisdiction

  • Email Review

  • Blotter Review

  • Review public and client communications

  • Other duties as assigned

Interacts with Business Partners to ensure the development and implementation of efficiencies and process improvements

• Attends regular meetings with Head of Distribution and/or WMLs to discuss and decision strategic direction

• Becomes an active member of new product/process development teams to represent the centralized service and sales teams and to ensure smooth implementation of changes

• Monitors overall TD Wealth customer satisfaction and client experience model with a view toward process improvements

• Assists in conducting improvements to streamline office procedures/processes and enhance overall client experience

• Establishes and maintains strong connectivity with Operations and finds/develops additional efficiencies for the field

• Assists in the developing of new procedures and policies by coordinating with Operations and Compliance

• Acts as escalation point for issues between the service/sales team and Operations

• Escalates customer complaints to Wealth Compliance immediately

• Engages with each WML, RM, IA and RID before any OSJ Exam, to prepare properly for the file and documentation review

Education & Experience:

• Bachelor's degree required

• Must be Series 7, 63/65 or 66 and 24 licensed

• Additional licenses may be required

• Minimum of 7 years business experience in a financial institution with an emphasis in operations or administration

• Must have supervisory experience

• Possess a minimum of 7 to 9 years businesses experience in retail brokerage and private wealth management with an emphasis in operations, supervision and administration preferred.

• A valid and active Life & Health insurance license is required

• Consultative sales experience required.

• Proven ability to establish relationships and partner effectively with other departments

OCC Language:

• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.

• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.

• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel - Continuous

• International Travel - Occasional

• Performing sedentary work - Continuous

• Performing multiple tasks - Continuous

• Operating standard office equipment - Continuous

• Responding quickly to sounds - Occasional

• Sitting - Continuous

• Standing - Occasional

• Walking - Occasional

• Moving safely in confined spaces - Occasional

• Lifting/Carrying (under 25 lbs.) - Occasional

• Lifting/Carrying (over 25 lbs.) - Occasional

• Squatting - Occasional

• Bending - Occasional

• Kneeling - Occasional

• Crawling - Occasional

• Climbing - Never

• Reaching overhead - Occasional

• Reaching forward - Occasional

• Pushing - Occasional

• Pulling - Occasional

• Twisting - Occasional

• Concentrating for long periods of time - Continuous

• Applying common sense to deal with problems involving standardized situations - Continuous

• Reading, writing and comprehending instructions - Continuous

• Adding, subtracting, multiplying and dividing - Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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 skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

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.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at [email protected]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.