Td Bank Wealth Client Support Supervisor-Marlton NJ 

United States, New Jersey 

161428140

Marlton, New Jersey, United States of America

$86,840 - $130,000 USDTD Wealth

Job Description:

The Client Support Supervisor serves two primary functions, 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. Additionally, 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
• 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
• Partners with the Principal Review Unit and distribution to assist with NIGOs and guideline interpretation
• Works 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

Education & Experience:

• Associate degree and/or bachelor's degree
• 7+ years of related experience (preferably in the financial industry)
• Series 24, 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 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, andstatements/certificationfrom 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.

Our Total Rewards Package

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.

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. 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 we’re committed to helping you identify opportunities that support your goals.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.