at Northern Trust Company in Chicago, Illinois, United States
Job Description
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Registered Associate II
Under general supervision, the Registered Associate II is responsible for managing client relationships of one or more Financial Advisors. The associate acts as a liaison between clients, Financial Advisors and internal partners to respond to client needs and/or requests. Utilizes an understanding of the investment industry and relevant financial markets to provide exceptional customer service and support development of investment strategies based on individual client objectives and market trends. Uses specific knowledge of a discipline to achieve goals through own work. Has specific knowledge or expertise typically gained through formal education or equivalent experience. Uses expertise to provide guidance to others as a project manager or consultant. Requires working knowledge and experience in own job discipline. Continues to build knowledge of the company, processes and clients. Performs a range of assignments related to job discipline. Uses prescribed guidelines or policies in analyzing situations. Receives a moderate level of guidance and direction.
The key responsibilities of the role:
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.
Qualifications
A College or University degree is preferred.
FINRA Securities Industry Essentials Exam...
Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
