TD Bank PCS Middle Officer Ops Spec II in Cherry Hill, New Jersey
PCS Middle Officer Ops Spec II
About TD Bank, America's Most Convenient Bank®
TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. at http://www.tdbank.com/ Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US .
TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit www.td.com at http://www.td.com/ .
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Performs a variety of administrative support tasks in a multitasking environment while maintaining excellent quality in reporting and responding to clients both internal and external
Accountabilities are multi-tasks of moderate complexity and scope and performed under general management supervision
Reviews information and materials for compliance with appropriate Company policies and legal and regulatory requirements, including Customer identification program and others; Submits new account information to internal acceptance committee for approval
Facilitates process so that assets transfer quickly by identifying key contacts and negotiating, persuading and providing necessary forms and information on a timely basis to help process go as smoothly as possible
Maintains tax-related information on very high-profile client accounts
Performs variety of activities related to opening new client accounts; Receives necessary client account information from financial advisors and others and inputs into system
Assures complete and accurate statement delivery by carefully monitoring system set-up for statements
Manages process to close accounts when accounts are terminating; Completes and facilitates processing of necessary forms and other information and ensures that assets are distributed quickly and that applicable policies, procedures and regulations have been followed
Coordinates with division and corporate compliance and audit areas as necessary to ensure proper procedures have been followed and that ongoing policies comply with appropriate requirements
Provides technical guidance and assists co-workers as requested
Communicates regularly with financial advisors, management, outside investment, stock transfer agents and others to exchange information, answer questions and resolve issues
- Must be eligible for employment under regulatory standards applicable to the position.
The Private Client Services (PCS) Middle Officer Operations Specialist II processes a variety of complex administrative transactions on high profile client accounts to allow financial advisors to provide enhanced relationship management services to meet established service standards. Utilizes extensive understanding of wealth management products, services and overall administrative processes and procedures to process all transactions.
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 in and serve, and creating an environment where every employee has the opportunity to reach their potential.
If you are a candidate with a disability and need an accommodation 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.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
High school diploma or GED
5+ years related experience required
In-depth knowledge of administrative requirements related to wealth management products, services and practices
Understanding of legal, regulatory and tax implications of wealth management transactions
Knowledge of the securities industry and terminology, including such terms as remainder man, donors, overdrafts, transfer agents and tax cost
Good initiative, negotiation and persuasion skills to identify appropriate contacts and facilitate asset transfers
Excellent organizational, arithmetic, time management, and interpersonal skills
Attention to detail
Supervisory ability helpful
Excellent communication skills, both verbal and written
A minimum of Series 99 registration is required; If hired without licenses, candidate will need to acquire within a defined period outlined at time of hire
This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA
Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant’s Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA
A satisfactory criminal background check, credit report, and statements from job applicant regarding administrative, civil, or criminal findings by any government agency are required by federal law for this position
1006 Astoria Boulevard
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