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IA Client Service Associate

2 months ago

Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time
About the Role

This is a key position within our organization, responsible for providing exceptional client service and support to our Investment Advisors (IAs). The successful candidate will be the primary point of contact for non-advice activities, ensuring seamless communication and collaboration with our IAs and other stakeholders.

Key Responsibilities
  • Client Support
    • Prepare documentation and provide updates to IAs in preparation for client meetings
    • Create reports for analysis of client accounts
    • Accept/create leads & ensure correct referral coding on TD Leads
    • Review newly posted marketing content and determine if relevant for clients; submit marketing pieces for approval and compile client information packages
  • Compliance and Risk Management
    • Familiarity and adherence to compliance requirements as outlined in PIA's policies and procedures, including all aspects of new and existing account documentation and marketing materials
    • Protect the interests of the bank – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
  • Client Experience
    • Provide a high level of Client service for all non-advice activities which includes responding to client requests via phone and email based on knowledge of full service brokerage
    • Deliver a legendary (gold standard) client experience
  • Team Collaboration
    • Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
    • Support the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unit
  • Professional Development
    • Participate in personal performance management and development activities, including cross training within own team
    • Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
Requirements
  • Education
    • Undergraduate degree or community college diploma preferred
  • Skills and Experience
    • Strong communication skills with ability to build relationships and work collaboratively, confidentially and independently
    • Willingness to complete the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH) to become licensed with the Canadian Investment Regulatory Organization (CIRO) within 6 months
About Us

The Toronto-Dominion Bank (Canada) is one of the world's leading global financial institutions, delivering legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.