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Private Client Services Specialist

TD Ameritrade

TD Ameritrade

Private Client Services Specialist

Southlake, TX
Full Time
Paid
  • Responsibilities

    This position involves directly and exclusively servicing TD Ameritrade's highest asset clients. Client management in this role will take a 360 degree service approach handling all aspects of the relationship to achieve industry leading client experience. Retaining this subset of clients, assets, and the revenue they generate is imperative to the success of this program.

    Each PCS Elite Representative will serve as a direct liaison between the client and TD Ameritrade. Primary responsibilities require an extensive knowledge of FINRA sanctioned trading rules, TD Ameritrade Brokerage's internal trading policies and procedures, TD Ameritrade Clearing's functions and a detailed knowledge of the securities industry and capital markets. PCS Elite Representatives will also need to be capable of handling trading and account inquiries for this client base in a timely manner. This will require the ability to perform critical risk management decisions on behalf of the firm. The ideal candidate will possess intense interpersonal skills that will allow them to develop close, professional relationships with their assigned clients. This candidate should also display a proven track record in successful dealings with high value clients and new asset generation. A professional image and ability to meet these clients in a face to face situation will also be required.

    RESPONSIBILITIES:

    • Create and cultivate a client experience that exceeds the client's expectations while establishing the benchmark for service within the online brokerage industry
    • Understand their assigned clients' trading styles and account service needs to proactively provide an individual, customizable and personal experience
    • Serve as a conduit between the client and TD Ameritrade's Executive Management with the express purpose of streamlining information flow
    • Generate additional revenue using superior service to increase share-of-wallet and by acquiring new business through client referrals
    • Support opportunities to internally cross-sell and grow the business as needed
    • Ensure that a client centric approach is maintained and that alternate solutions are utilized
    • Process non-solicited equity, option, and mutual fund orders in self-directed brokerage accounts, this must be done with the utmost accuracy and efficiency required by TD Ameritrade's highest asset clients
    • Research, resolve and respond to advanced client inquiries as they relate to trading rules, this requires the demonstrated ability to make time sensitive risk management decisions
    • Maintain orderly records of all client inquiries generated during the normal course of business
    • Quickly and accurately make decisions within the scope of their duties and level of empowerment
    • Exercise independent decision making ability when placing large orders that are within the broker's stated trade limits and when reviewing electronically placed client orders that fail TD Ameritrade's order entry rules
    • Process and resolve all client inquiries as they relate to any aspect of the business: Client Service, New Accounts and Tech Support (when feasible) operations
  • Qualifications

    REQUIREMENTS:

    • Series 7 (Registered Representative) and 63 (State Securities Registration) or 66 required with registration in all 50 states.
    • Must have a working understanding of the brokerage business, must keep current with products, services, features and benefits to include industry and market developments
    • Excellent interpersonal and organizational skills
    • Professional image required for personal client interactions
    • Ability to work in a highly autonomous environment while meeting all service demands
    • Possess advanced analytical skills with the ability to prioritize complex tasks
    • Monitor the regulatory landscape to identify potential issues that may impact TD Ameritrade's clients and associates as they relate to changing industry rules and procedures
    • Demonstrated ability to work well in high pressure, fast paced situations
    • Displays the confidence, skill and professionalism demanded by this client segment to resolve critical issues in a manner that strengthens the client relationship and mitigates risk for the firm
    • Must have a sense of urgency, ability to multi task, excellent organizational skills, and strong prioritization skills
    • Ability to use good judgment in line with TD Ameritrade's policies and procedures when managing relationships
    • Establish and maintain credibility and good working relationship with associates at every level; acting as a role model, mentor and instructor
    • Perform duties with minimal supervision and sound judgment
    • Must possess excellent oral and written communication skills
    • Strong attention to detail
    • Working knowledge of market operations
    • Must demonstrate a positive and professional image at all times
    • Demonstrated leadership skills required
    • Demonstrated ability to adapt to and succeed in a dynamic work setting
    • College degree preferred, a minimum of two years college or equivalent experience will be considered
    • Military education or experience may be considered in lieu of civilian requirements listed
  • Industry
    Financial Services
  • About Us
    At TD Ameritrade we help individual investors pursue their financial goals through our brokerage subsidiaries. For more than 40 years we have been serving individual investors – from the first-time investor to the sophisticated trader, and from the “do-it-yourself” to the “do-it-for-me” investor. We offer a broad range of investment tools and services – all at a great value. We engage with our clients in many different ways including online, on-the-go via mobile applications, over the phone or through independent registered investment advisors. Our clients choose how they want to work with TD Ameritrade – not the other way around.