Senior Investment Associate

Jobtailor; Scottsdale (AZ); On-site; USD 65,000 - 90,000; Full time

Job summary

Northern Trust is seeking a client service professional with 1–3 years in financial services to support investment client relationships. You will prepare portfolio materials, retrieve system reports, and coordinate documentation for clients and portfolio managers.

You will handle cash transfers, fund trades, and fee analyses while maintaining adherence to guidelines and risk controls. CFA/CFP coursework encouraged.

Qualifications

• Knowledge of investment products and services.
• Ability to explain complex information clearly.
• Coursework toward CFA or CFP designation.

Responsibilities

• Prepare portfolio materials for client account review meetings.
• Retrieve reports from EDS, PIMS, IMS, and PAS systems.
• Set up account documentation files for existing and new clients.
• Order reports for portfolio managers and clients.
• Communicate with clients and portfolio managers regarding client requests.
• Coordinate daily information exchange about client relationships and portfolios.
• Research tax discrepancies and oversee account adjustments with tax area.
• Respond to account information inquiries and initiate client-requested transactions.
• Process physical stock and bond certificates and complete DTC transfers.
• Follow up with clients by telephone or written correspondence.
• Process client cash transfer requests and determine fund availability.
• Contact Investment Advisors when cash must be raised.
• Process fund trades through CIT or all-in-one bank applications by deadlines.
• Review and analyze fee worksheets for accurate fee calculations.
• Adhere to National Investment Guidelines and risk management practices.
• Make proactive recommendations supporting Investment Advisors.
• Participate in client meetings.
• Demonstrate mastery of the GDWM tool in client meetings.
• Solve straightforward problems using experience and precedents.
• Provide informal guidance to new team members.

Skills

Portfolio Management

Financial Analysis

Client Communication

Documentation

Problem Solving

Education

CFA Coursework

CFP Coursework

Tools

GDWM Tool

CIT Application

All-In-One Bank Apps

EDS System

PIMS System

IMS System

PAS System

Job description

• Prepare portfolio materials for client account review meetings
• Retrieve reports from EDS, PIMS, IMS, and PAS systems
• Set up account documentation files for existing and new clients
• Order reports for portfolio managers and clients
• Communicate with clients and portfolio managers regarding client requests
• Coordinate daily administrative information exchange with partners about client relationships and portfolios
• Research tax discrepancies and oversee account adjustments with the tax area
• Respond to account information inquiries and initiate client-requested transactions
• Process physical stock and bond certificates and complete DTC transfers
• Follow up with clients by telephone or written correspondence
• Process client cash transfer requests and determine fund availability
• Contact Investment Advisors when cash must be raised
• Process fund trades through CIT or all-in-one bank applications by established deadlines
• Review and analyze fee worksheets for accurate fee calculations
• Adhere to National Investment Guidelines, REV peer review feedback, and sound risk management practices
• Make proactive recommendations supporting Investment Advisors
• Participate in client meetings
• Demonstrate mastery of the GDWM tool and run it in client meetings
• Solve straightforward problems and analyze solutions using technical experience, judgment, and precedents
• Provide informal guidance to new team members

Requirements

• Knowledge of investment products, services, and terminology
• Strong analytical, organizational, and communication skills
• Coursework completion towards obtaining a CFA or CFP designation
• Expanded conceptual knowledge in own job discipline
• Understanding of key business drivers
• Ability to explain complex information in straightforward situations
• 1-3 years of experience within the financial services industry
• Provides informal guidance to new team members
• Applicants must be authorized to work in the U.S. without employment-based visa sponsorship now or in the future
• Northern Trust will not sponsor employment-based U.S. work visas for this opportunity

Core Competencies

Demonstrates expertise in investment products and services, with strong analytical and organizational skills to manage client accounts effectively. Proficient in communication and problem-solving, with the ability to provide guidance and support to team members and clients.

Highest-signal resume keywords

• Knowledge Of Investment Products
• Strong Analytical Skills
• CFA Or CFP Coursework Completion
• Financial Services Industry Experience
• Client Communication

Hard Skills

• Portfolio Management
• Account Documentation
• Fee Calculation Analysis
• Cash Transfer Processing
• DTC Transfer Processing
• Tax Discrepancy Research
• Fund Trade Processing
• Client Inquiry Response
• Report Retrieval
• Client Relationship Management

Soft Skills

• Organizational Skills
• Communication Skills
• Problem-Solving Skills
• Team Guidance

Certifications & Qualifications

• CFA
• CFP

Industry Keywords

• National Investment Guidelines
• Risk Management Practices
• Investment Advisors
• Client Meetings
• Financial Services

Tools & Technologies

• GDWM Tool
• CIT Application
• All-In-One Bank Applications
• EDS System
• PIMS System
• IMS System
• PAS System