Registered Associate II

About the role

Northern Trust is a global leader in wealth management, asset servicing, asset management, and banking services. Founded in 1889, the company is guided by three principles: Service, Expertise, and Integrity. These principles are reflected in the business conduct of its partners, who are called "Northern Trust Partners." Northern Trust operates globally, serving the world's most sophisticated clients with leading technology and exceptional service.

Responsibilities

• Day-to-day client servicing including account opening, account servicing, and trade execution.
• Onboarding new client relationships through correspondence, reports, new account paperwork, and advisory agreements.
• Supporting Financial Advisors in evaluating investment objectives and providing guidance based on risk tolerance, income needs, and market environment.
• Building relationships with Financial Advisors, internal and external business partners, and clients through exceptional proactive service.
• Working with internal partners (Sales, Operations, Management, or other relationship managers) to respond to client needs and requests.
• Acting as a subject matter expert to other associates and advisors, providing comprehensive and in-depth consulting and leadership at a high technical level.
• Maintaining relevant client information in the Client Relationship Management system and organizing and maintaining client records in compliance with firm, industry, and regulatory standards.
• Carrying out activities that are large in scope, cross-functional, and technically challenging.
• Balancing high-level operational execution with strategic direction of business function activities.
• Directly interacting with different committees and/or management.
• Solving problems using technical experience and judgment, and applying precedents.
• Impacting the quality of own work and the work of others on the team.

Requirements

• A College or University degree is preferred.
• FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO, and Series 63/65 or 66 are required.
• Three or more years of experience in a client-facing service role in the brokerage, investment advisory, or financial services environment is preferred.

Qualifications

• Excellent analytical, verbal, and written communication skills.
• Thorough knowledge of investment products through prior work experience (stocks, bonds, mutual funds, options).
• Organizational skills and the ability to prioritize tasks.
• Technical skills such as Microsoft Office, Wealthscape, Morningstar Analytics, Thomson ONE, etc., are recommended.
• Expanded conceptual knowledge in own job discipline.
• Understanding of key business drivers and the ability to apply this understanding to accomplish own work.

Skills

• Strong interpersonal and communication skills.
• Ability to prioritize and manage multiple tasks simultaneously.
• Knowledge of investment products and services.
• Proficiency in relevant software tools.

Benefits

As a Northern Trust Partner, you will benefit from a flexible and collaborative work culture, a history of financial strength and stability, and opportunities for movement within the organization. The company supports philanthropic efforts and provides generous benefits, including a competitive compensation package, retirement plans, and a range of wellness programs.

Pay

The pay scale for this role is competitive and commensurate with experience.

Schedule

The schedule for this role is typically full-time, with standard business hours.

Contact Information

If you need a reasonable accommodation for any part of the employment process, please email MyHRHelp@ntrs.com or discuss your individual requirements with the recruiter you are working with.