Associate Investment Advisor I

Associate Investment Advisor I page is loaded

Associate Investment Advisor I

Apply remote type On Site locations Calgary, Alberta time type Full time posted on Posted 2 Days Ago job requisition id R_1347588

Work Location:

Calgary, Alberta, Canada

Hours:

37.5

Line of Business:

TD Wealth

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

**Preferred Candidate Identified**

Job Description

This role is responsible for supporting the lead Investment Advisor (IA) or a team of IAs by acting on their behalf through the delivery of advice and planning that aligns with their strategic direction through involvement in client management and business development, which facilitate the accumulation of assets and converts prospects into clients. This role also provides dedicated investment support to designated client accounts within the IA’s book of business.

KEY ACCOUNTABILITIES

CUSTOMER

• Manage the client base for long term profitability, understanding the needs of clients and delivering products and services which fit their needs
• Provide high quality investment advice, across the full range of products (registered, non-registered, equities, fixed income, foreign, domestic, etc.) to ensure full satisfaction of client needs
• Leverage financial planning expertise to produce high quality plans that exceed the expectations of clients through a well-documented Investment & Wealth Plan (IWP) plan that introduces appropriate Wealth Considerations
• May collaborate and partner with other TD areas by referring clients (e.g. TD Canada Trust, TD Commercial Bank, TD Securities) where appropriate and respecting the True Partnership Agreement to enhance the client experience
• Direct support staff in the delivery of client service according to PIA standards

SHAREHOLDER

• Contribute to the achievement of business objectives by proactively attracting, acquiring and retaining customers / sales opportunities and referrals, to increase profitability and enable business growth
• Promote and offer a full suite of products, sales and services capabilities
• Support the timely and accurate completion of business processes and procedures
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• Ensure documentation that is prepared / completed is accurate and properly reflects client / business intentions and is consistent with relevant rules / regulations
• Identify, suggest and actively participate in process improvement opportunities
• Ensure necessary due diligence to support the accuracy of all customer transactions / activities
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
• Assume responsibility to minimize operational and regulatory risk by complying with TD Bank and industry Codes of Conduct
• Be knowledgeable of and comply with TD Bank/industry service standards, policies/procedures/controls, codes and guidelines of conduct/privacy codes/securities laws and regulations and maintain high ethical standards.
• Complete familiarity and adherence to compliance and IIROC requirements as outlined in PIA’s policies/procedures and IIROC’s rules/regulations.  This includes all aspects of new and existing account documentation, marketing materials etc

EMPLOYEE / TEAM

• 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
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
• Contribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand champion for your business area/function and the bank, both internally and/or externally

BREADTH & DEPTH

• Experienced working in a professional role providing specialized business services, advisory or processes / program support within their own area of specialty
• Requires experienced, conceptual and practical knowledge within their own specialty and knowledge of broader related areas
• Accountable for own work and sometimes others; acts as an escalation point or knowledge resource for others in their own area
• Oversee projects or work streams within broader projects with moderate risk and may provide guidance for ongoing activities, processes and functional programs
• Works within broad guidelines / policies and independently performs tasks from end to end
• Solves moderately complex problems by taking a new perspective on existing solutions
• Exercises judgment based on the analysis of multiple sources of information
• Conveys business context when providing guidance within field of specialty to internal or external stakeholders
• Work performed under minimal management guidance and supervision
• Identify and lead problem resolution
• Reports to the Branch Manager.

EXPERIENCE & EDUCATION

• Undergraduate Degree or Community College Diploma with over 3 years of experience working directly with, or in support of, the wealth management needs of clients
• Licensed with Canadian Investment Regulatory Organization (CIRO) as a Registered Representative (RR) requirement to maintain license in good standing
• Insurance licensed (LLQP in Quebec) or willingness to do so within 1 year
• Optional: Certified International Wealth Manager (CIWM) designation, Certified Financial Accountant (CFA), Chartered Investment Manager (CIM), or Certified Financial Planner (CFP)
• Robust conceptual and practical knowledge within an area of expertise and in broader areas
• Strong communication skills with ability to build relationships and work confidentially, independently as well as in a team

Who We Are:

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.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development
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.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement:

N/A.

Our Values
At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion
At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment
TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific

#J-18808-Ljbffr