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The Private Client Service Associate is responsible for providing consistent and accurate administrative, analytical and service support to a Portfolio Manager(s). They act as a secondary contact for the Portfolio Manager’s relationships. Actively contributes to business results by identifying potential sales opportunities when interacting with clients and performing internal duties.
To The Customer
- Act as a primary contact with regards to account administration and day-to-day inquiries (e.g. account maintenance, portfolio administration, cash transfers, etc.) in a courteous and professional manner, while exercising tact and discretion
- When in contact with a client, be proactive in looking for opportunities to deepen the client relationship and increase the number of wealth and TD services that clients participate in. Document opportunities for Portfolio Manager follow up
- Prepare the Portfolio Manager for the Annual Client Review (ACR) by producing an enhanced ACR agenda, identifying partner referral opportunities, highlighting the current fee schedule and ensuring all pending/missing documents (e.g. KYC, IPS, CIP etc.) are completed and update to date in the CRM
- Play a lead role in identifying the clients to be proactively contacted by the Portfolio Manager/Private Client Service Associate on a weekly/monthly basis, in order to provide a legendary client experience
- In order to support a legendary client experience, work in an integrated manner with Center Partners for shared clients
- Assist Portfolio Manager(s) with the initiation of the IWPS by inputting as much salient data (received from the Portfolio Manager) as possible and through report creation.
- Assist the Portfolio Manager(s) in the preparation of proposals, client correspondence, presentations, marketing and other materials for clients, prospects and partner meetings, as required
- Follow-up to ensure model instructions and trades submitted by the Portfolio Manager are executed correctly and in a timely manner
- Maintain an accurate and current database of relevant client information (Janna), including diarized transfer requests, statement issues and special projects (e.g. year-end valuations, tax and cash requests)
- Assist the Portfolio Manager(s) with the preparation of the Annual Portfolio Plan by leveraging client information such as existing TD and Wealth products, subject to information availability
- Maintain continuous compliance with industry regulations and TDBF/PIC policies and procedures, including but not limited to :
§ Anti-Money Laundering
§ Securities regulations
- Maintain complete familiarity and adherence to all compliance requirements as outlined in PIC's policies and procedures for all clients
- Ensure all documents are complete and accurate prior to submitting to WM Operations for processing; know and adhere to processing SLAs within the various areas of WM Operations
- Contribute to a positive work environment and improve team dynamics, while assisting with client events and office functions
- Support a team oriented environment by sharing information and offering support to coworkers
- Complete a Personal Development Plan to achieve ongoing professional development and maintain working knowledge of the securities and financial services industry through continuing education (use L&D linked to CSA manual)
Undergraduate Degree or Community College Diploma preferred
Completion of the Canadian Securities Course preferred
Possess excellent communication skills Proven ability to deliver a high level of client service
Detail oriented and highly organized Ability to work in a fast-paced, dynamic environment.
Proficient with firm software & MS Office Suite
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.
Private Investment Advice
Job Category - Primary
201 Portage Avenue Corporate