Wealth Client Support Supervisor-Greenville, SC

Work Location:

Hours:

Pay Details:

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 candidates 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.

Line of Business:

Job Description:

The Wealth Client Support Supervisor serves two primary functions: 1) They coordinate communication with multiple areas of the wealth management business (including but not limited to distribution supervision product operations legal compliance technology) in designing and implementing process development and the procedural framework necessary to efficiently operate the business within regulatory requirements. 2) They hire lead and manage teams that support the sales and service activities of high net worth institutional mass affluent and other division areas.

Depth and Scope:

• 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
• The Client Support Supervisors serve as subject matter experts for the primary services provided by the wealth management division: managed investment accounts on TDPCW platform brokerage investment accounts on the TDPCW platform Trust and Investment accounts on the TDBNA platform including Trustdesk wealth depository services wealth lending services
• Responsible for implementing process changes to adhere to newly identified control gaps or introduction of additional regulatory requirements
• Responsible for overall process improvement including the reduction of NIGOs and/or improved delivery of service level agreements
• Supervision of escalated situations/cases including the review/decisioning of identified items
• Partner with the Principal Review Unit and distribution to assist with NIGOs and guideline interpretation
• Work with the overall supervision and compliance teams to identify potential risks trends and patterns
• Collects concerns and feedback from Distribution team
• Assists the technology partners in prioritizing needs of business
• Provides coaching sessions for consistent use of RM and IA tools
• Provides role clarity for account opening and service requests using RM and IA toolkits for consistency
• Leads efforts improving efficient workflow managing SMEs for all items effecting sales and service support
• Leads and manages a team that demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
• Leads and manages a team that ensures all NEW clients receive the complete onboarding experience which includes a thorough client discovery leading to a truly exceptional Client Experience An introduction to the IA and TA as per client need and the Completion of all requisite client profiling documents
• Recognizes gaps and trends to identify opportunities for process improvement
• Summarizes and highlights important information incorporating changes and feedback as needed
• Audits staff on a regular basis
• Trains new staff members and other related departments in client service policies practices and procedures including account opening maintenance and general service
• Resolves client service-related problems including operational or compliance issues
• Handles customer complaints and other issues requiring escalation
• May Lead a team that works with less complex clients; may bring in subject matter experts earlier in the client relationship; ensures those existing clients where it would add value are provided with a Private Client Planning Experience
• May Lead a team who serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the clients relationships with TD Bank; executes a differentiated service model/experience for HNW clients
• May Lead a team who deepens wallet share by anticipating client needs and suggesting the most appropriate banking lending and/or investment solutions; maximizes profitability while ensuring the client receives an exceptional client experience; leverages and coordinates specialists (Taxes Trust and Estate) to provide interdisciplinary expertise for our most complex clients; identifies opportunities within portfolio and network to refer business to Retail Commercial and Wealth Partners
• Ensures team executes in a manner that is compliant with regulations policies and procedures; understands and adheres to TD Wealth AML/ATF Policies and Procedures
• Ensures team adheres to all federal state SRO regulations and Firm policies related to all business activities (e.g. OCC SEC FINRA etc.); ensures all Continuing Education requirements are attained
• Ensures team implements TDs Customer Identification Program (CIP) by collecting and verifying required customer identification information and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures; effectively implements a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the clients overall wealth needs as well as a minimum of two annual pro-active contacts
• Ensures team transitions lower threshold clients to appropriate Wealth Partners as needed to ensure capacity for target market clients
• Contributes individually and as a team member to ensure strong performance collaboration and enthusiasm that sets TD Wealth apart from our competitors

Education & Experience:

• Associates degree and/or bachelors degree
• 7 years of related experience (preferably in the financial industry)
• Series 24 or 9/10 7 63/65 or 66 required
• Demonstrated experience solving complex service issues
• In-depth knowledge of investments banking and credit products
• Supervisory experience is preferable but not required
• Demonstrated organizational and time management skills
• Demonstrated ability to problem solve and work independently
• Experience in professional services and with working with affluent clients is required
• Knowledge of MS Word Excel PowerPoint and working with Contact Management databases is essential
• Demonstrates ability to manage multiple responsibilities and timelines
• Proven track record of delivering results and executing with excellence
• Ability to multitask and manage competing priorities effectively
• Excellent written and verbal communication skills

OCC Language:

• This position falls within the definition of Loan Originator as defined under Regulation Z of the Truth in Lending Act 12 CFR Part 1026.36; and the definition of Mortgage Loan Originator as defined under the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) 12 U.S.C. 5102 et seq. and its implementing regulations 12 CFR Part 1007; and is with a FINRA member broker 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 with a covered financial institution under the standards established by Regulation Z of the Truth in Lending Act 12 CFR Part 1026.36.

• Must be eligible for registration as a registered mortgage loan originator with the NMLS (Nationwide Mortgage Licensing System and Registry) in accordance with the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) 12 U.S.C. 5102 et seq. and its implementing regulations 12 CFR Part 1007.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e) including: the Firms 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 applicants Form U4 with the CRD and before representing on the applicants Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicants Form U4; and the Firms obligation to verify the accuracy and completeness of the information contained on the applicants 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 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 worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

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:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

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

Interview Process
Well 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 . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.