Financial Advisor

015 Northern Trust Securities, Inc; Denver (CO); On-site; USD 96,000 - 162,000; Full time

Benefits offered by this job

retirement benefits

health and welfare benefits

paid time off

parental and caregiver leave

life & accident insurance

other benefits

Job summary

Northern Trust in Denver is seeking a senior securities professional with strong sales experience to guide high‑net‑worth clients and coordinate with traders to deliver tailored investment solutions.

The role emphasizes client service, market insight, and collaboration across teams, with licensing requirements and CFP designation preferred. A discretionary bonus program and competitive benefits accompany a strong compensation package.

Qualifications

• Minimum 5+ years in securities industry and sales.
• Broad knowledge of securities products; options expertise preferred.
• Securities licenses required: Series 7 and 66 (or 63/65). Professional designation CFP preferred.

Responsibilities

• Consult with clients to identify goals and risk appetite; provide investment solutions.
• Collaborate with team to identify and develop client prospects for Northern Trust.
• Utilize broad market knowledge to inform clients and educate partners on strategies.
• Document client interactions in Salesforce to keep advisory team informed.
• Monitor markets to recommend timely strategy decisions for clients.

Skills

Securities industry experience

Sales experience

Client consultation

Education

Series 7 and 66 licenses

CFP designation (preferred)

Tools

Salesforce

Job description

About Northern Trust

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world’s most successful individuals, families, corporations and institutions. Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide. With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

About Northern Trust: Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889. Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Responsibilities

• Consults with clients to identify their goals, objectives and appetite for risk. This collaboration should result in providing solutions and strategies that are aimed towards accomplishing clients’ goals
• Work in a team environment to identify and develop specific clients and prospects that are compatible with Northern target profiles
• Utilizes broad knowledge of the investment markets and terminology to inform and educate clients and partners around various strategies, particularly around concentrated positions
• Collaborates and understands working with NTSI traders to ensure excellence in execution
• Participates in team conversations to help develop and implement best in class investment strategies and solutions that will to maximize their sales efforts
• Thorough documentation of client notes/interaction into Salesforce is a must to ensure all members of the advisory team are informed and kept up to date on client interaction
• Monitors the market and information sources to make appropriate and timely strategy decisions to clients and partners
• Fully participates in all ongoing training and meeting initiatives
• Sets personal sales goals and business plan with manager based on experience and product knowledge
• Providing the highest level of client service to clients is a top priority
• Operates independently; has in-depth knowledge of business unit / function
• As subject area expert, provides comprehensive, in-depth consulting and leadership to team and partners at a high technical level
• Carries out activities that are large in scope, cross-functional and technically difficult. Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities
• Conducts preliminary analysis
• Responsible for direct interaction with different committees and/or management
• Strategic in developing, implementing and administering programs within functional areas.
• Strong sales, communication, and group presentation skills.
• Individual must be goal driven and self-motivated
• Some travel may be required

Experience

Minimum 5+ years of securities industry and sales experience. Must have broad based knowledge of all securities products, options expertise preferred. Required Securities license: Series 7, 66 (or 63/65) Professional designation preferred (CFP)

Salary Range

Salary Range: $95,600 - 162,400 USD Salary range is a good faith estimate of base pay.

Benefits

• 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
• other voluntary and well-being benefits

Northern Trust also provides a discretionary bonus program that may include an equity component.

Work Authorization

Applicants must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. Northern Trust will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).

Working with Us

As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to an inclusive workplace and assisting the communities we serve.

Philanthropy is deeply rooted in Northern Trust’s history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.

Looking for greater? You found it. A global financial leader with more than 22,000 employees in 23 locations worldwide, Northern Trust empowers our employees to achieve more than just business goals. Our focus on work-life balance, career mobility and unique opportunities are just a few of the reasons we’ve been named one of the world’s most admired companies.

Reasonable Accommodation

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [e-mail].

APAC/INDIA EEO STATEMENT

It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

Canada EEO STATEMENT

Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

EMEA EOO STATEMENT

It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

USA EEO STATEMENT

It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO Know Your Rights (U.S.)