Registered Associate

About the role

Northern Trust, a Fortune 500 company founded in 1889, is a global financial institution known for its excellence in financial services and integrity. The company serves the world's most successful individuals, families, and institutions through its innovative financial solutions and exceptional service.

Key Responsibilities

• Provide day-to-day client service, including account opening, maintenance, and trade execution.
• Onboard new client relationships by coordinating correspondence, reports, new account documentation, and advisory agreements.
• Support Financial Advisors in gathering information and evaluating investment objectives, considering risk tolerance, income needs, and market conditions.
• Build strong relationships with clients, Financial Advisors, and internal/external partners through proactive, responsive service.
• Partner with internal teams (e.g., Sales, Operations, Management, Relationship Managers) to address client needs and resolve issues.
• Maintain accurate and complete client information in the Client Relationship Management (CRM) system.
• Organize and retain client records in accordance with firm policies and industry/regulatory requirements.
• Serve as a subject-matter resource for associates and advisors by providing guidance, consulting support, and on-the-job coaching as needed.

Qualifications

• College or university degree preferred.
• FINRA Securities Industry Essentials (SIE) Exam, Series 7, and Series 66 required (or ability to obtain within 90 days).
• 2+ years in a client-facing service role within brokerage, investment advisory, or financial services preferred.
• Strong analytical, verbal, and written communication skills.
• Thorough knowledge of investment products (e.g., stocks, bonds, mutual funds, options).
• Strong organizational skills with the ability to prioritize and manage multiple requests.
• Technical proficiency and systems knowledge (e.g., Microsoft Office, Wealthscape, Morningstar Analytics, Thomson ONE).
• Ability to serve as a resource to colleagues by providing informal guidance and training.

Benefits

• Comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits.
• Discretionary bonus program that may include an equity component.

Pay

$67,500 - 111,500 USD

Schedule

This is an office-based position; duties and responsibilities must be performed onsite.