Financial Advisor - Borough Park / Brooklyn, NY

Financial Advisor - Borough Park / Brooklyn, NY

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Work Location : Brooklyn, New York, United States of America

Hours : 40 hrs / week

Pay Details : $74,880 - $112,320 USD

Line Of Business : TD Wealth

Job Description

The Transitional Financial Advisor (TFA) role is a three‑year program with a draw for financial advisors or planners who will provide financial planning guidance and sell investment management solutions.

A Transitional FA will leverage experience to service the unique and complex needs of clients in the Mass Affluent (MA) segment by identifying needs, reviewing financial goals, and making investment recommendations aligned to client goals. The role serves as the central point of contact, responsible for providing client service and developing relationships to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.

Depth & Scope

• Experience selling investments and providing financial plans
• Demonstrates a commitment to customer‑centric service during every interaction to maximize retention and growth
• Ensures all new clients receive the complete onboarding experience, including a thorough client discovery, completion of a financial needs analysis, introduction to the centralized client servicing team, and completion of all requisite client documents
• Ability to partner and promote lead generation
• Manages goals, prioritizes tasks, and works comfortably in a fast‑paced environment
• Ensures all new & existing clients are provided with a MA Planning Experience
• Effectively implements a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client’s overall wealth needs and proactive contacts
• Serves as the primary point of contact for TD Wealth client relationships for the MA segment; manages all aspects of the client’s relationships with TD Bank and refers to Retail and Wealth partners & affiliates as needed
• Implements and executes a differentiated service model / experience for MA clients
• Meets quarterly and annual sales goals
• Deepens wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions. Maximizes profitability while ensuring the client receives an exceptional client experience
• Identifies opportunities within your portfolio and network to refer business to Retail and Small Business / Commercial Partners
• Executes in thorough manner that is compliant with regulations, policies and procedures
• Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g., OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.)
• Ensures all Continuing Education requirements are attained
• Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures
• Responsible for implementing TD’s 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
• Uncovers client’s asset and transitions higher‑threshold clients to appropriate HNW Wealth partners as needed
• Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
• Provides coaching, Wealth referral training & on‑going feedback to Retail and Small Business staff
• Contributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm
• Represents TD Wealth to the general public in a professional manner
• Is involved in the community and supports TDBG charity and community initiatives

Education & Experience

Customer Accountabilities

Employee / Team Accountabilities

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 deliver legendary customer experiences to 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 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…

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 and several other key plans such as health and well‑being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development and reward and recognition.

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.

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.

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