WM Brokerage - Registered Associate NTSI (Chicago or Tempe)

The Registered Associate position is responsible for managing client relationships for multiple Financial Advisors as part of our National Support Team. This team acts as extemporary, auxiliary support, between Financial Advisors, clients, and internal partners to respond to client needs and/or requests.

Utilizes an understanding of the investment industry and relevant financial markets to provide customer service and support development of investment strategies based on individual client objectives and market trends.

•Responsible for day to day client servicing. Including account opening, account servicing, and trade execution.

•Supports broker in the process of evaluating investment objectives to provide guidance to clients as appropriate given risk tolerance, income needs, and current market environment.

•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 brokers, 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

•Carries out activities that are large in scope, cross-functional and technically difficult

•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

Qualifications

•A College or University degree is preferred

•FINRA Series 7 and 66 required

•Three years of securities industry experience preferred.

•Excellent analytical, verbal, and written communication skills 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, Streetscape, Morningstar, Thompson ONE Analytics)

About Northern Trust:

Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With over 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.

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 that is committed to strengthening the communities we serve!

We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why we are honored to receive the following awards in 2021:

•Gender Equality Index Member, Bloomberg

•Top Financial & Banking Company, Black EOE Journal, Hispanic Network Magazine, Professional WOMAN'S Magazine

We'd love to learn more about how your interests and experience could be a fit with one of America's best banks and most sustainable companies! Build your career with us and apply today.

Additional Information