Registered Associate II

Northern Trust Corp; Tempe, Northern (AZ, KY); Hybrid; USD 60,000 - 90,000; Full time

Job summary

Northern Trust, a global leader in wealth management and asset servicing, seeks a client-focused professional in Tempe to support account opening, servicing, and trade execution. You will assist Financial Advisors in tailoring investment objectives to risk and market conditions.

Ideal candidates will have a degree, FINRA licenses, and 3+ years in client-facing financial services roles, with strong analytical and communication skills.

Qualifications

• College or University degree preferred.
• FINRA SIE, Series 7/7TO 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.

Responsibilities

• Day-to-day client servicing including account opening, maintenance and trade execution.
• Supports Financial Advisors in evaluating investment objectives based on risk tolerance, income needs and current market environment.
• Builds relationships with Financial Advisors, internal and external partners, and clients by delivering proactive service.
• Works with internal partners to respond to client needs/requests.
• Role is balanced between high level operational execution and development, and strategic direction of business function activities.

Skills

Client servicing

Relationship management

Analytical skills

Communication skills

Education

Bachelor's degree

Tools

Wealthscape

Microsoft Office

Thomson ONE

Morningstar Analytics

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.

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.

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.

Terms and Conditions Candidate Privacy Notice California Applicant Privacy Notice Pay Transparency Nondiscrimination Provision (U.S) Transparency in Coverage Disclosure – North America

Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), [phone] (Asia Pacific), 1800-425-0333 (India), [phone] (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

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 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.

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.)

EEO Know Your Rights (U.S.)