Internal Sales & Service Support Leader, US Wealth

TD Bank

1mo ago

Job
Full-time
Senior & Expert Level
People, HR & Administration
Banking & Finance
Greenville
Quick Apply

AI generated summary

You need a Bachelor's degree, Series 7, 63/65 or 66, 24 licenses, 7-9 years in financial ops, supervisory experience, consultative sales skills, and a Life & Health insurance license.
You will oversee service and sales teams, ensure compliance, manage performance, drive growth, train staff, handle escalated issues, and enhance client experience across the organization.

Requirements

Bachelor's degree required
Must be Series 7, 63/65 or 66 and 24 licensed
Additional licenses may be required
Minimum of 7 years business experience in a financial institution with an emphasis in operations or administration
Must have supervisory experience
Possess a minimum of 7 to 9 years businesses experience in retail brokerage and private wealth management with an emphasis in operations, supervision and administration preferred
A valid and active Life & Health insurance license is required
Consultative sales experience required
Proven ability to establish relationships and partner effectively with other departments

Responsibilities

FINRA registered Client Service Supervisors who oversee the centralized service team
centralized FINRA registered sales representatives
supervisory responsibilities to ensure that all FINRA /SEC Regulations are being met within centralized service and sales teams
all people management accountabilities and works in partnership with the Wealth Market Leaders and other sales leadership
establish consistent practices across the footprint, ensuring best practices and policies are created and followed
collaborates with Products & Services, Operations and Compliance colleagues to help train service and sales employees on new operational processes, platforms, and standard operational procedures
changes and implements management strategies, handles escalated client service issues, identifies and brings attention to any areas of risk and provides support for national key strategic initiatives to drive growth
interact with business partners to ensure the development and implementation of efficiencies and process improvements are executed across the markets
monitor expenses/budgets, manage administrative processes, address Human Resources issues, and coordinate the transition and onboarding process for new service and sales staff
coordinate with other team leads identified within the national footprint for larger scale projects and program management
provides high level support to WMLs and the Senior Executive Leadership team and acts as a critical expert representing the centralized service/sales teams on all integrated business initiatives, collaborating with other TD Wealth partners on the development of initiatives and execution strategies
identify key actionable business issues and influences business partners to act based on research results and data
interacts directly with the Head of Distribution regarding strategic decisions
provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
drives operational, client and employee related connectivity of front, middle and back office to streamline processes, increase efficiencies, create footprint policies and procedures, and a risk control environment
key area of focus will include, but not be limited to Service Model Standard, Client Experience Standards, Onboarding and Training, Salesforce Training and implementing key business initiatives as directed
coordinates and/or develops training/education workshops with emphasis on client service
promotes a consistent legendary Customer Experience with a focus on growth, productivity, sales effectiveness, and compliance and risk management across the footprint
works to develop a formal Associate On-Boarding process, Client On-Boarding/The Entire Client Experience, and Service model delivery standard
analyzes team performance, provides feedback, guidance, training and encouragement to impact efficiency
leads the associate off-boarding process to assure timely closure of access and monitoring of e/voice mails
leverages Client Service Supervisors to provide product review feedback as well as product/process improvement discussions
ensures Client Service Supervisors utilize capacity planning software
maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls
communicates processes, updates, and policies to employees for proper utilization of bank systems and applications
guides team on process changes and communication of implementation of new processes
reviews and develops processes to prevent losses and execute cost saving measures
develops, administers, and updates procedures and policies to support business growth
provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
drives sales and revenue growth by developing and managing a team of centralized registered sales representatives
for centralized sales team, coordinates with all interested parties (marketing, field, operations, etc.) to create client action plan that can be managed and checked in Salesforce
coordinates and/or develops training/education workshops with emphasis on sales skills
analyzes team performance, provides feedback, guidance, training and encouragement to impact revenue growth
maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls
communicates processes, updates, and policies to employees for proper utilization of bank systems and applications
responsible for supervising registered employees under FINRA registration
responsible for compliance with and strict adherence to all FINRA/SEC regulations and ensuring the teams pass all periodic audits
responsible for ensuring the teams follow TDPCW supervision policies and procedures as prescribed by the firm, including, but not limited to:
supervision of registered employees in their jurisdiction
email review
blotter review
review public and client communications
other duties as assigned
attends regular meetings with Head of Distribution and/or WMLs to discuss and decision strategic direction
becomes an active member of new product/process development teams to represent the centralized service and sales teams and to ensure smooth implementation of changes
monitors overall TD Wealth customer satisfaction and client experience model with a view toward process improvements
assists in conducting improvements to streamline office procedures/processes and enhance overall client experience
establishes and maintains strong connectivity with Operations and finds/develops additional efficiencies for the field
assists in the developing of new procedures and policies by coordinating with Operations and Compliance
acts as escalation point for issues between the service/sales team and Operations
escalates customer complaints to Wealth Compliance immediately
engages with each WML, RM, IA and RID before any OSJ Exam, to prepare properly for the file and documentation review

FAQs

What is the location of the Internal Sales & Service Support Leader position?

The position is located in Greenville, South Carolina, United States of America.

What are the salary expectations for this role?

The pay range for this position is $115,440 - $173,160 USD.

What are the working hours for this position?

The working hours are 40 hours per week.

Is a bachelor's degree required for this role?

Yes, a bachelor's degree is required.

What licenses are necessary for this position?

Candidates must be Series 7, 63/65 or 66, and 24 licensed. A valid and active Life & Health insurance license is also required.

How much business experience is required?

A minimum of 7 years of business experience in a financial institution is required, with a preference for 7 to 9 years in retail brokerage and private wealth management.

Does this role require any supervisory experience?

Yes, supervisory experience is required for this position.

What key responsibilities does the Internal Sales & Service Support Leader have?

Responsibilities include managing Client Service Supervisors and centralized sales representatives, ensuring compliance with FINRA regulations, overseeing training and development, and driving sales and operational efficiency.

Are there any travel requirements for this position?

Yes, domestic travel is required continuously, and international travel is occasional.

What is TD's commitment regarding colleague development?

TD is committed to providing regular development conversations, training programs, and a competitive benefits plan to help colleagues thrive both at work and at home.

How does TD ensure a respectful workplace?

TD fosters a respectful workplace where diverse perspectives are valued, and everyone has fair opportunities for growth.

How does the application process work?

Candidates of interest are contacted to schedule an interview, and outcomes are communicated to all applicants by email or phone call.

What accommodations are available for applicants with disabilities?

TD Bank provides accommodations for applicants with disabilities; they can email USWAPTDO@td.com for assistance in the application process.

TD Bank

Finance

Industry

10,001+

Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen