Private Client Investment Advisor II - New York, NY

Job Description:

The Private Client Investment Advisor II partners with Relationship Manager to provide comprehensive investment services including sophisticated investment products to HNW clients. The Investment Advisor will utilize their technical investment expertise to provide comprehensive investment services and solutions to meet the needs of clients.

The Private Client Investment Advisor delivers comprehensive wealth management and investment advisory services to high‑net‑worth individuals and families and assumes responsibility for an established book of business. The role emphasizes deepening existing client relationships through personalized planning, portfolio management, and ongoing advice, with a required consistent in‑office presence.

Depth & Scope:

• Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth

• Extensive track record for managed account solutions book of business. (i.e., fiduciary vs. suitability)

• Partners closely with Private Client Relationship Managers to ascertain potential investment needs of TD Wealth clients to increase wallet share

• May work with more complex clients

• Partners with Private Client Relationship Managers in support of securing new clients with potential investment needs

• May act as primary point of contact for legacy client relationships (i.e., Advisors legacy book of business)

• Contributes individually, as a team member and as a mentor to more junior staff, to ensure strong performance, collaboration and enthusiasm that set TD Wealth Private Client apart from our competitors

• Using TD Wealth's comprehensive tool set, works with clients to develop and define their investment strategy

• Implements investment objectives and strategies for client base

• Provides support and information to all TD Wealth team members and partners with respect to investment products

• Uses advanced knowledge of Investment Products and concepts to proactively introduce new investment ideas and solutions to enhance the client's portfolio

• Monitors client portfolios and recommends / implements changes as necessary

• Annually reviews fees and asset mix for each relationship

• Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship

• 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

• Uses expense budget appropriately to support Client and business activities

• Records Client correspondence, communications, meetings and sales activity in SalesForce.com as appropriate

• Ensures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations

• Ensures all new relationships are following proper account acceptance guidelines

• Ensures that all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC and TD Bank

• Ensures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policies

• Represents TD Wealth to the general public in a professional manner

• Be involved in your community and support TDBG charity and community initiatives

• Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team.

• Provides Guidance to junior staff

Education & Experience:

• 4-year degree required, MBA or advanced degree preferred

• Preferred a minimum of 10+ Years financial services experience in a production capacity (i.e., track record for meeting sales goals) required

• Valid Series 7, 63 + 65 or 66

• Valid and active Life & Health insurance licenses

• 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

• Ensures all Continuing Education requirements are attained

• In-depth knowledge of investment concepts, industry and practices, including understanding of domestic and international financial markets and related legal and regulatory guidelines

• Advanced ability to understand the clients investment goals and objectives and develop a diversified investment plan and strategy

• Extensive Client management skills and experience, with proven ability to build and maintain strong and productive working relationships

• Strong financial analysis and general analytical ability, including understanding and experience with investment concepts

• Understanding and experience with sophisticated concepts in general taxation and personal financial planning

• Systematic, integrated and critical thinker with flexibility and ability to think out of the box to provide solutions to meet a variety of business/market needs

• Superior communication skills, both verbal and written

• Supervisory ability

• Strong execution skills and action oriented

• Must have experience working within a highly collaborative team environment

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 - Occasional

• International Travel - Never

• 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.) - Never

• Squatting - Occasional

• Bending - Occasional

• Kneeling - Never

• Crawling - Never

• Climbing - Never

• Reaching overhead - Never

• Reaching forward - Occasional

• Pushing - Never

• Pulling - Never

• Twisting - Never

• 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.