Registered Associate II at Northern Trust

Chicago, Illinois, United States

Not SpecifiedCompensation

Junior (1 to 2 years), Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial ServicesIndustries

FINRA Securities Industry Essentials Exam (SIE), Series 7 and Series 66 licenses are required or ability to acquire within 90 days
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 experience

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
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 and analyzes possible solutions using technical experience and judgment and precedents