Financial Planner I

仕事内容

TD Description

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Department Overview

• Identify client life and financial goals, potential barriers, provide recommendations, and ongoing relationship/portfolio management
• Identify opportunities to refer clients to Partners (Wealth, Retail)
• Provide ongoing comprehensive reviews of clients’ financial circumstances and create long-term relationships by providing financial planning expertise and ongoing services.
• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
• Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk activities as necessary
• Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience
• Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
• Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists
• Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others
• Identify, recommend and effectively execute standard practices applicable to the discipline
• Adhere to internal policies/procedures and applicable regulatory guidelines
• 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
  
  

Job Description

• 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
• Experienced professional with a focus on providing business development, relationship management and / or sales advice within their own area of specialty
• Requires an in-depth understanding of products/services and key competitors
• Identifies referral opportunities across business lines and segments
• Understands the business and technical principles that underpin the design and delivery of the products and services provided
• Possesses a solid understanding of the business, the competitive landscape and economic/market issues
• May serve as a product or customer segment knowledge resource
• Coordinates the identification, pursuit or management of accounts/opportunities with others while taking a primary role in managing the relationship
• Solves moderately complex problems by taking a new perspective on existing product and service solutions
• Exercises judgement in planning and developing customized account management processes; focuses on customizing advice and solutions
• Impacts a range of sales achievement (P&L) of their own team and related teams
• Puts solutions in context when presenting complex alternatives and framing advice
• Work performed under minimal management guidance and supervision
• Identify and leads customer problem resolution
• Generally reports to a Senior / Manager or above
  
  

Job Requirements

EXPERIENCE & EDUCATION

• University Degree and/or 3-5 years industry experience
• Canadian Securities Course (CSC) required
• IIROC license preferred (required within first 90 days in role)
• Complete Conduct & Practices Handbook (CPH) within first 90 days in role
• Complete Wealth Management Essentials (WME) within first 30 months in role
• Achieve Certified Financial Planner designation within first 2 years in role
  
  

Inclusiveness

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.