Registered Associate II

Northern Trust; Tempe (AZ); On-site; USD 90,000 - 120,000; Full time

Job summary

Northern Trust is a global leader in wealth management, asset servicing, and banking services. This role supports day-to-day client servicing, onboarding, and advisory collaboration with Financial Advisors, leveraging investment product knowledge and regulatory understanding.

The position requires 3+ years in client-facing financial services, strong communication, and proficiency with financial tools. A college degree and FINRA licenses are preferred or required.

Qualifications

• Three or more years in a client-facing service role in brokerage or financial services.
• Ability to analyze investment objectives and advise clients given risk tolerance and market conditions.
• Strong organizational and prioritization skills.
• FINRA qualifications required (SIE, Series 7/TO and 63/65 or 66).

Responsibilities

• Open, service, and maintain client accounts; onboard new relationships and advisory agreements.
• Assist Financial Advisors in evaluating investment objectives and providing guidance to clients.
• Build relationships with Financial Advisors, partners, and clients through proactive service.
• Respond to client needs with internal teams (Sales, Operations, Management).
• Maintain client information in CRM and ensure regulatory compliance.
• Provide leadership as a subject-expert and coach junior staff.

Skills

Analytical skills

Verbal communication

Written communication

Investment products knowledge

Education

College degree preferred

FINRA SIE exam

Series 7/TO and 63/65 or 66 required

Tools

Microsoft Office

Wealthscape

Morningstar Analytics

Thomson ONE

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.

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.

Major Duties :

• Responsible for day to day client servicing. Including account opening, account servicing and maintenance as well as trade execution. Onboards new client relationships through correspondence, reports, new account paperwork, and advisory agreements.
• Supports Financial Advisor(s) in the process of evaluating investment objectives to provide guidance to clients as appropriate given risk tolerance, income needs, and current market environment.
• Builds relationships with Financial Advisors, internal and external business partners, and clients by delivering exceptional proactive service.
• Works with internal partners (Sales, Operations, Management, or other relationship managers) to respond to client needs/requests.
• As subject area expert to other associates and advisors, providing comprehensive, in-depth consulting and leadership to team and partners at a high technical level.
• Maintain relevant client information in Client Relationship Management system.
• Organizes and maintains client records in accordance with firm, industry, and regulatory compliance.
• Carries out activities that are large in scope, cross-functional and technically challenging.
• Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities.
• Responsible for direct interaction with different committees and/or management.
• Strategic in developing, implementing and administering programs within functional areas.
• Solves problems in straightforward situations.
• Analyzes possible solutions using technical experience and judgment and precedents.
• Impacts quality of own work and the work of others on the team.
• Works within guidelines and policies. Knowledge :
• Excellent analytical, verbal, and written communication skills are required.
• Thorough knowledge of investment products through prior work experience is required (stocks, bonds, mutual funds, options).
• Organizational skills and the ability to prioritize are essential.
• Technical skills / systems knowledge (e.g. Microsoft Office, Wealthscape, Morningstar Analytics, Thomson ONE are recommended.
• Requires expanded conceptual knowledge in own job discipline.
• Understands key business drivers; uses this understanding to accomplish own work.
• Explains complex information to others in straightforward situations. Experience :
• A College or University degree is preferred.
• FINRA Securities Industry Essentials Exam (SIE) , Series 7 or 7TO and 63/65 or 66 are required.
• Three or more years working in a client facing service role in the brokerage, investment advisory or financial services environment is preferred.
• Acts as a resource for colleagues with less experience.
• Provides informal guidance and training to new team members.

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.

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], or alternatively you can discuss your individual requirements with the recruiter you are working with.