Associate Investment Advisor I

Work Location:

Langley, British Columbia, Canada

Hours:

37.5

Line of Business:

TD Wealth

Pay Details:

$65,600 - $98,400 CAD

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 p