Financial Advisor Associate - Hauppauge, NY

Work Location Hauppauge, New York, United States of America Hours 40 Pay Details

$66,560 - $99,320 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate’s skills and experience, job‑related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business TD Wealth Job Description The Financial Advisor Associate (FAA) works with TD Wealth prospects and clients to attract and retain clients by addressing their wealth management advisory needs. The FAA will meet with prospects and clients to analyze their financial information, including income, cash flow, assets and liabilities, analyze and understand their short and long term financial goals, educate and advise prospects and clients regarding investment and insurance strategies and products, and recommend personalized and tailored investment and insurance strategies and products to meet their financial and wealth creation objectives. The successful candidate must possess broad knowledge and a demonstrated ability to inform, educate, and advise clients with respect to financial analysis, markets, goals, investment and insurance strategies and products, and wealth management. They must also possess strong interpersonal skills to develop a thorough understanding of each client’s circumstances and act as a fiduciary, putting the client’s interests first when providing objective financial advice, long‑term retirement planning, and annual reviews. The FAA is responsible for all aspects of developing and maintaining client relationships, providing ongoing consultation, advice, and day‑to‑day account servicing. The FAA will rely on relationship building skills and the ability to influence to develop a client base and meet assigned goals. Working within an assigned territory, they will educate and coach Retail Store staff to identify referral prospects. The role will also identify enterprise opportunities and engage key partners across the organization as appropriate. Depth & Scope Serves as the primary relationship manager and financial advisor for TD Wealth clients with a wealth management advisory need Develops, maintains, and manages all aspects of the client’s relationship with TD Wealth Works with prospects to attract and develop clients and address their wealth management advisory needs Analyzes client and prospect financial information, including income, cash flow, assets and liabilities, and understands short and long term goals to determine appropriate investment and insurance strategies Builds a client base by ongoing acquisition of new clients Educates and advises prospects and clients regarding investment and insurance strategies and products Retains and grows client base through relationship management, ongoing communication, and regular reviews Recommends personalized/tailored investment and insurance strategies and products Meets quarterly and annual objectives Proficient in SalesForce, Money Guide Pro and other authorized software Ensures all new clients receive a complete onboarding experience, including client discovery, financial needs analysis, required documentation, and ongoing education Provides education and coaching to Retail and Small Business staff Implements a process for periodic contacts and Annual Client Review meetings Deepens wallet share by anticipating client needs and suggesting appropriate wealth solutions Identifies portfolio and network opportunities to refer business to partners Executes in compliance with regulations, policies, and procedures Adheres to all federal, state, and SRO regulations and firm policies related to all business activities Ensures continuing education requirements are met Understands and adheres to TD Bank & TD Wealth policies and procedures Implements the Customer Identification Program (CIP) and performs due diligence as outlined in AML procedures Transitions higher threshold clients to appropriate HNW Wealth partners as needed Fosters and contributes to a positive and constructive work environment within the Wealth team Mentors new FAAs to ensure strong performance and collaboration Represents TD Wealth professionally to the public Demonstrates community involvement and support for TD's charitable initiatives Education & Experience Bachelor’s degree strongly preferred 1+ year of relevant work experience in financial services or completion of the FAA Trainee program SIE & Series 7 required Required to hold L&H and Series 66 (or equivalent) or the ability to obtain them Self‑directed with strong planning skills to achieve sales and referral goals Comprehensive understanding of wealth products and services Strong verbal and written communication skills Strong organizational and time‑management skills Ability to travel within assigned market five days a week Ability to commute within assigned territory Understanding of wealth management business development techniques Experience interacting with retail and small business banking clients Consultative sales experience required Ability to establish relationships and partner effectively with other departments OCC This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. Must be eligible for employment under FINRA standards and subject to investigation and verification requirements of FINRA Rule 3110(e). Requires satisfactory criminal background check, credit report, civil litigation, regulatory agency, and self‑regulatory organization enforcement action search. Physical Requirements Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel – Continuous International Travel – Occasional 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.) – Occasional Squatting – Occasional Bending – Occasional Kneeling – Occasional Crawling – Occasional Climbing – Never Reaching overhead – Occasional Reaching forward – Occasional Pushing – Occasional Pulling – Occasional Twisting – Occasional 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 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. If you are an applicant with a disability and need accommodations to complete the application process, please email View email address on click.appcast.io. Include your full name, preferred contact method and the accommodation needed to assist you with the applicant process. #J-18808-Ljbffr Dormont Manufacturing Co