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TD Bank Wealth Operations Specialist III (US) in Greenville, South Carolina


Job Title:

Wealth Operations Specialist III (US)

TD Description:

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 Find TD Bank on Facebook at and on Twitter at .

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 .

Auto req ID:



United States

Job Requirements:

  • Must be eligible for employment under regulatory standards applicable to the position.

Performs back up function to Supervisor on all non-personal issues

Performs oversight of all repetitive tasks

Is competent in all core Wealth Systems (Tracker, Netx360, FIS Trust Desk) as well as other role specific systems (Fidelity, Lotus Notes, Transtar among others) as needed

Ability to train on processing more complex exceptions

Has oversight

Performs a variety of highly complex administrative support tasks in a multitasking environment while maintaining excellent quality in reporting and responding to clients both internal and external.

Is articulate in core Wealth Systems (Tracker, Netx360, FIS Trust Desk) as well as other role specific systems (Fidelity, Lotus Notes, Transtar among others) as needed

Independently performs tasks from beginning to end under general management supervision

Checks system for current or pending transactions to be processed and recorded

Ensures that transactions are confirmed and entered in system, according to established policies and procedures for each type of transaction

Supports Trackers / Phones/ email to advise and assist client facing CSA's

Prepares detailed information and reports on transactions and accounts as needed

Ensures alternative ways to improve processes and procedures and identifies recurring problems and issues and communicates them to supervisor for possible procedure changes; provides input to department policy and procedure development

Coordinates special projects and assignments as needed, such as semiannual audit check of vault

Provides technical guidance and assists client facing collogues with most complex aspects of work as necessary

Resolves escalated issues and problems by conferring with staff, other internal departments, outside contacts and others as necessary

Provides training and mentoring for new and less experienced staff

Requires a comprehensive understanding of a range of product and services, processes, procedures, systems and concepts within their own area of specialty

Coordinate updates to procedures

Answer phones in queue as well as personal line to assist customers

Answer contact clients answer phones in queue as well as personal line to assist customers

Answer Trackers / Phones/ email to advise and assist client facing CSA's

Facilitates accuracy and consistency in data, documents, procedures, and processes

Resolves problems and identifies the most appropriate solution

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

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 reconciliation of all accounts

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



Job Description:

The US Wealth Operations Specialist III performs specialized Operational tasks for a number of US Wealth Management lines of business. The role utilizes extensive understanding of wealth management products, services and overall administrative processes and procedures.


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 . 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.


New Jersey, South Carolina


Greenville, Mount Laurel


Undergraduate Degree or High School Diploma with 7+ years related experience required

SIE & Series 99 registration is required

24 months experience in US Wealth Operation or suitable outside experience

In-depth knowledge of administrative requirements related to wealth management products, services and practices

Extensive understanding of areas Wealth Management products, services and overall Operational process and procedures

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

Strong knowledge of trust operations processes

Attention to detail.

Supervisory ability helpful

Excellent communication skills, both verbal and written

PC skills

OCC Language:

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

Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position

Work Location:

Greenville Campus Building A - 200 Carolina Point Parkway, Mount Laurel - 12000 Horizon Way

Business Line:


Job Category - Primary:

Wealth Management

Job Category(s):

Wealth Management

**Province/State (Primary):

New Jersey

ProvState 2:

South Carolina

City (Primary):

Mount Laurel

City(s) 2:


Job Family:

Wealth Operations

Time Type:

Full Time

Employment Type:


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