Private Client Specialist I-Springfield, MA

Wealth Management
Springfield, MA
January 29, 2024



Job Details

The Private Client Specialist will act as a high-touch point of client contact accountable to serve the unique and complex needs of clients in the high net worth segment. They will serve as the central point of contact for HNW clients across banking, lending and High Net Worth Investing with expertise in banking and lending. Partner with Relationship Managers, Investment Advisors and Trust Advisors to provide proactive client service to achieve greater share of wallet.

The Private Client Service Associate will support other team members (Relationship Managers, Trust Advisors or Investment Advisors) and provide consistent and accurate administrative, analytical and service support.

Job Requirements

  • Must be eligible for employment under regulatory standards applicable to the position.
  • Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
    • Ensures all NEW clients receive the complete onboarding experience, which includes completion of all requisite client profiling documents
    • Work on technical skills with an eye toward advancing to a more senior role within TD Wealth
    • Handles complex financial transactions involving highly competitive products and services
    • Act as SME for Client Associate team
    • Introduces planning services to existing clients when appropriate
    • Assist advisors in insuring clients maintain proper minimum financial thresholds for Wealth Management
    • Develop and maintain understanding of pricing models/concepts and applies them effectively
    • Supports the Private Banking opportunities for existing clients
    • Monitors and provides feedback to the team on accounts outside guidelines and/or assigned limits and conditions
    • Serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the clients’ relationships with TD Bank
    • Executes a differentiated service model/experience for HNW clients
    • Deepen wallet share introducing banking, lending and/or investment solutions
    • Maximizes profitability without compromising exceptional client experience
    • Leverages and coordinates specialists to provide interdisciplinary expertise for our most complex clients
    • Identifies opportunities to refer business to Retail, Commercial and Wealth Partners
    • Executes in a manner that is compliant with regulations, policies and procedures
    • Adheres to all federal, state, SRO regulations and Firm policies related to all business activities
    • Ensures all Continuing Education requirements are attained
    • Understands and implements TD Wealth AML/ATF Policies and Procedures
    • Implements TDs Customer Identification Program (CIP) collecting and verifying required customer identification information, performing other Customer Due Diligence and Enhanced Due Diligence Requirements outlined in the Business Unit AML procedures
    • Transitions lower threshold clients to appropriate Wealth Partners, as needed
    • Contributes to a positive and constructive work environment
    • Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that sets TD Wealth apart from our competitors
    • Represents TD Wealth to the general public in a professional manner
    • Involved in community supporting TDBG charity and community initiatives
    • Ensures service to clients reflects TDBG standards and guiding principles
    • Supports the assigned team members in meeting service commitments to clients
    • Provides consistent and accurate administrative support to assigned team members
    • Supports client relationships including account maintenance, portfolio information and cash transfers
    • Efficiently manages all incoming enquiries/requests for information independently/or directs to appropriate person or area
    • Delivers operational excellence
    • Completes all applicable specialized training
    • Works independently with minimal supervision
    • Performs necessary duties to assist assigned team members
    • Maintains various databases and computer systems by entering transactional and other data, updating information and ensuring data accuracy; creates reports summarizing information as required
    • Coordinates information flow among internal departments
    • May resolve more difficult Client issues, problems, and requests
    • Guides and directs others as necessary; acts as a specialist resource to support all wealth management areas
    • Properly communicates with others concerning account administration, retention and projects
    • Completes assigned administrative/Client service tasks within policy and operating procedures
    • Identifies opportunities to make referrals to internal business partners
    • Identifies and recommends technological/process improvements


  • Associates degree and/or Bachelors degree.
  • 2+ Years of related experience (preferably in the financial industry).
  • Series 7, 63/65 or 66 registrations required; if hired without licenses, candidate will need to acquire within a defined period outlined at time of hire.
  • Knowledge of investments, banking and credit products preferred.
  • A self starter, ability to work with minimal supervision.
  • Ability to excel at administration and be exceptionally well organized
  • Demonstrates considerable initiative in providing a high level of organization
  • Experience in professional services and with working with affluent clients is required. Knowledge of MS Word, Excel, PowerPoint and working with Contact Management databases is essential.
  • Possess a reasonable knowledge of investments, and has the ability to generate reports pertinent to the management of client investment portfolios; however, prefers to focus on administration in a support role
  • Demonstrates ability to manage multiple responsibilities and timelines
  • Proven track record of delivering results and executing with excellence
  • Excellent written and verbal communication skills
  • Criminal and financial background investigation is required pursuant to FINRA Rule 3010(e) and successor regulations

Company Overview

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 behaviors. 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.

Making Your Well-being a Priority
A caring and supportive culture that promotes colleague well-being is core to who we are. At TD, we focus on total well-being with extensive programs to help colleagues assess, manage, and improve their well-being across four core pillars — physical, financial, social and mental/emotional. In addition, we champion a safe and inclusive work environment, so colleagues feel a sense of belonging and feel supported in their personal and professional growth. Through our focus on well-being, we know that we can help our colleagues thrive, contribute to our culture of care, and support better business outcomes, because when colleagues feel their best, they’re more likely to do their best.

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.

How We Work
At TD, we believe in-person connections fuel collaboration and collective creativity. Our workplace experience empowers colleagues to do great work side-by-side at TD locations, while offering flexibility to work remotely where it makes sense for the work and team. Our teams work in one of three workplace models: hybrid, onsite and primarily remote. Wherever our colleagues are working, they’ll always have access to the TD community to experience our culture of care.

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 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.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

If you are a candidate with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

How We’re Helping Make an Impact in Communities
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 $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.

We look forward to hearing from you!