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Consultant, Portfolio

Quick Facts

Southlake, Texas ID# 2018-14017 Regular Full-Time Second Level Professional

Role:

  • Are you interested in shaping a new business and joining a growing team in a proven financial institution?
  • Are you a listener? Do you want the opportunity to meaningfully help investors alleviate their investment anxieties and achieve their financial goals?
  • Do you want to continue to hone your expertise in the discipline of financial planning and portfolio management?
  • Do you want the opportunity to work with TD Ameritrade’s best clients providing tailored state-of-the-art financial planning and advisory services? Do you want to be the “expert” that clients seek out for these solutions?
  • Would you seek a competitive base salary but still want the opportunity for upside in your compensation based on your skills and output?
  • Do you want to work for a firm who is investing in cutting edge solutions to help clients meet their financial objectives in this digital age?
  • If the answer is yes, you want to consider this role at TD Ameritrade.

As a Portfolio Consultant (PC) you will help service the best of TD Ameritrade’s new and existing clients with state of the art financial planning and portfolio management capabilities from TD Ameritrade’s newly established Personalized Portfolios service.  As a Portfolio Consultant you will be empowered to provide objective and tailored portfolio-level recommendations to qualified prospective and / or existing clients. The role will be responsible for conducting upfront goals assessment, portfolio solutions and periodic portfolio analysis and advice.  The services you provide as a PC will also include portfolio implementation, asset reallocation (as needed) and periodic rebalancing in a manner that’s consistent with TDA’s affiliated RIA’s (TDAIM) policies and procedures. As a PC you will aim to provide holistic advice and solution in accordance with the client’s needs and goals. You would also work closely with members of TDA’s Branch Network to serve as an investment expert and aid in the upfront sales process, retention and harvesting of existing clients, while also optimizing your time, and work product, to ensure the desired client experience and highest level of satisfaction.

Responsibilities:

Portfolio Analysis, Construction and Client Recommendations. Examples include:

  • Partner with Sr Financial Consultants (the relationship manager) to present portfolio recommendation proposals to clients.
  • Assess client investment goals and objectives, time frame and risk tolerance and develop appropriate portfolio-level recommendations in a manner that’s consistent with firm policies and adds value to the end client.
  • Develop, deliver and oversee tailored Personalized Portfolio strategies and investment recommendations.
  • Conduct upfront and periodic / ongoing portfolio analysis and recommendations in a manner that aligns with the defined / intended client experience.
  • Use of financial planning and portfolio analysis software to help provide the basis for recommendations made, investment vehicles or strategies employed and to leverage for both the client-facing experience and internal documentation requirements.
  • Review suitability, additional information, to create investment proposal.
  • The PC should ensure that she, or he, will fulfill TDAIM’s fiduciary obligations in managing the portfolios on behalf of TDA’s clients

Build Client Relationships and Impact Business outcomes. Examples include:

  • Develop strong relationships with Sr Financial Consultants (the relationship manager) and TDA clients to consistently address their needs
  • Leverage financial planning software (and existing reports) in order to build comprehensive understanding of client goals, needs, wants and wishes and solidify client relationships
  • Effectively utilize of contact management system to schedule seamless client outreach and stay abreast of any changes in client circumstances
  • Prepare for and deliver annual, or semi-annual, reviews of the client’s overall portfolio picture vs. their objectives
  • Review dashboard items and notifications to actively manage and monitor client accounts where needed
  • Conduct Ad hoc client interactions to discuss portfolios, investment objectives, investment outlook, market conditions and their impact to the client’s portfolio, etc.
  • Aid in the upfront sales process and help provide the appropriate solutions to client’s investment management needs with a primary focus on creating and managing portfolio-level recommendations. The subsequent result of these efforts should also impact positive business outcomes like assets into Personalized Portfolios services.
  • Drive a positive client experience via proactive or reactive client conversations and education around macro-economic and market events to help retain or grow assets.

Foster Teamwork and Productive Internal Relationships. Examples include:

  • Conduct selves in a manner that is consistent with TD Ameritrade’s Core Values, while also modeling and exhibiting self-imposed high standards, integrity and ethical behavior in all facets of day-to-day responsibilities.
  • Develop and manage strong working relationships across the organization, with a specific focus on the Branch Network, Sr. Financial Consultants, the Investment Management Support Teams, TDAIM product management and supervision.
  • Support fellow Portfolio Consultants and share best practices and help augment capacity needs as unexpected staffing needs arise.
  • Participate in training and team meetings to continuously grow their expertise in portfolio management and financial planning and help with the onboard of peer PCs.
  • Adhere to all compliance/risk procedures, follows corporate and industry protocols, and acts in a manner which protects the interests of the customer and TD Ameritrade at all times.

Requirements:

  • Direct financial services and advisory sales experience with end clients
  • Demonstrated experience handling client concerns and issues with tact, diplomacy and empathy. A passion for continuously improving the client experience.
  • Technical knowledge with portfolio optimization concepts and solutions / products offered within the industry.
  • Expertise with financial and portfolio planning tools and the ability to coach/train others on how to use them to solve client challenges.
  • Strong collaboration and communication skills. A motivation to help coach and develop your own skills those of your peers.
  • Excellent written and oral communication skills, attention to detail
  • Undergraduate degree required (CFP or CFA is strongly preferred)
  • Active FINRA Series 65 required (or may be obtained within the first 120 days)
  • Military education or experience may be considered in lieu of some requirements above

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About TD Ameritrade.

A leader in brokerage and investment services for over 35 years, TD Ameritrade offers a full spectrum of powerful solutions and innovative tools for trading and investing. We're constantly expanding our knowledge and bolstering our capabilities, from a leading active trader program to intuitive long-term investment solutions and a national branch system. Combined with some of the industry's brightest minds, there's no limit to how big our accomplishments can be.

From first-time investors to sophisticated traders, TD Ameritrade is focused on helping individuals seek out their financial goals. And you're the ambassador to all that we do. Beginning with our trading platform and proprietary technology to our resolve to outperform, you'll maintain the high level of quality and integrity we're known for, each and every day. With the right opportunity, there's no limit to what you can accomplish.

As a leading employer in financial services, we believe in building strong relationships, achieving quality results and working with integrity. It's at the heart of everything we do. That's why we provide you with comprehensive training, benefits and programs that inspire you to achieve more every day. Apply to a TD Ameritrade job today and help our clients pursue their dreams, while you fulfill yours.

Applicants must be eligible to work in the U.S. Immigration sponsorship is typically not available for this position.

TD Ameritrade participates in the E-Verify program. For additional information on this program please click here. TD Ameritrade is an Equal Opportunity Employer. We value diversity and offer a quality workplace. TD Ameritrade, Inc. member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NASDAQ:AMTD). TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company and the Toronto-Dominion Bank.

© 2014 TD Ameritrade IP Company, Inc. All rights reserved. Used with permission.

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