Wealth Client Support Supervisor-Greenville, SC

Wealth Client Support Supervisor

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.

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 client's 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 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; 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.

Associates degree and / or bachelor's 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

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.

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, 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 you've 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, we're here to support you towards your goals. As an organization, we keep growing and so will you.

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