Registered Associate II at Northern Trust

Fort Lauderdale, Florida, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Wealth ManagementIndustries

Requirements

FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO, and 63/65 or 66 are required
A College or University degree is preferred
Two or more years working in a client facing service role in the brokerage, investment advisory or financial services environment is preferred
Excellent analytical, verbal, and written communication skills are required
Thorough knowledge of investment products through prior work experience is required
Specific knowledge or expertise typically gained through formal education or equivalent experience
Working knowledge and experience in own job discipline
Acts as a resource for colleagues with less experience and provides informal guidance and training to new team members

Responsibilities

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
Acts 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
Maintains 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
Balances 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, working within guidelines and policies

Skills

Key technologies and capabilities for this role

Client ServicingAccount OpeningTrade ExecutionClient OnboardingInvestment StrategiesFinancial MarketsCustomer ServiceAccount Maintenance

Questions & Answers

Common questions about this position

What are the key responsibilities of the Registered Associate II role?

The role involves day-to-day client servicing including account opening, maintenance, and trade execution; onboarding new clients; supporting Financial Advisors in evaluating investment objectives; building relationships; and maintaining client records in compliance with regulations.

Is this a remote position or does it require office work?

This information is not specified in the job description.

What is the salary or compensation for this position?

This information is not specified in the job description.

What experience or knowledge is required for this role?

The role requires specific knowledge or expertise typically gained through formal education or equivalent experience, working knowledge in the job discipline, and an understanding of the investment industry and relevant financial markets.

What kind of company culture does Northern Trust offer?

Northern Trust emphasizes enduring principles of service, expertise, and integrity, provides innovative financial services using leading technology and exceptional service, and fosters a collaborative environment with over 22,000 partners serving sophisticated clients.