|Associate Investment Advisor|
Associate Investment Advisor
Company : Jobssummary / Indeed
Salary : Details not provided
Location : Manitoba
February 27, 2023
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TD Wealth Private Investment Advice (PIA) is a full-service brokerage ideal for investors with substantial portfolios who are looking for professional, custom-tailored investment advice and planning, while maintaining participation in the decision-making process regarding their financial affairs. We work one-on-one with clients to design and implement a comprehensive investment strategy, recommend customized investment solutions and provide on-going portfolio monitoring and performance reporting aimed at enhancing the client’s financial success over the long-term.
Client – Business Development, Planning & Investment/Relationship Management:
Manage the client base for long term profitability, understanding the needs of clients and delivering products and services which fit their needs
Provide high quality investment advice, across the full range of products (registered, non-registered, equities, fixed income, foreign, domestic, etc.) where appropriate to ensure full satisfaction of client needs
Leverage financial planning expertise to produce high quality plans that exceed the expectations of clients through a well-documented (IWP) plan that introduces appropriate Wealth Considerations
Collaborate and partner with other TD areas by referring clients (e.g. TD Canada Trust, TD Waterhouse, TD Securities) where appropriate and respecting True Partnership Agreement to enhance the client experience
Direct support staff in the delivery of client service according to PIA standards
Generate revenue/profit for PIA, sponsoring IA and self
Develop and execute sales plans in conjunction with sponsoring IA
Identify and develop relationships with existing clients and external referral sources to build sales and market share
Actively promote the TD Wealth image and brand within the community through participation and leadership in business groups, and related activities.
Integrate sales efforts with TD Canada Trust, TD Wealth and other areas to market a full range of solutions and services
Business Operations – Product & Process Knowledge:
Be knowledgeable of and comply with TD Bank/industry service standards, policies/procedures/controls, codes and guidelines of conduct/privacy codes/securities laws and regulations and maintain high ethical standards.
Complete familiarity and adherence to compliance and IIROC requirements as outlined in PIA’s policies/procedures and IIROC’s rules/regulations. This includes all aspects of new and existing account documentation, marketing materials etc
Ensure necessary due diligence (e.g. accuracy of information) to support the accuracy of all client activities, i.e. Know Your Client etc.
Establish and maintain a professional development career plan
Provide direction and coaching to support the team
Undergraduate Degree or Community College Diploma
Licensed with IIROC as a Registered Representative (RR), requirement to maintain license in good standing
Insurance licensed (LLQP) or willingness to do so within 1 year
Optional: CIWM, CFA, CIM
Minimum three years’ experience working directly with, or in support of, the wealth management needs of clients
Current industry experience with advising and making recommendations on client investment portfolios
Ability to proactively identify client needs and deliver a legendary client experience
Experience building a strong rapport with clients, prospects and COI’s with ease
Strong financial acumen and appreciation of TD’s Risk Appetite
Experience applying market insights/research and developing robust client financial plans
Possess excellent communication skills, both written and verbal
Expert use of industry/firm software (Croesus, ISM, FIP, Thomson ONE, IWPS – Naviplan)
Proficient with MS Office including advanced use of Excel, Word and PowerPoint
Detail-oriented and highly organized
Proven ability to work in a fast-paced, dynamic environment, while delivering a high level of client service
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.