Registered Associate II

Northern Trust
Phoenix
Workplace: OnsiteFull timeFunction: Customer Success & Account ManagementEducation: bachelorsSkills: ["Communication","Analytical thinking","Organizational skills","Problem-solving","Relationship building"]

Serve as a day-to-day client servicing partner by supporting account opening, account maintenance, and trade execution. Work closely with Financial Advisors and internal stakeholders to evaluate client needs in line with risk tolerance and market conditions, while building proactive relationships. Act as a subject-matter expert, manage client information in the CRM, maintain records in accordance with compliance requirements, and help guide teammates with informal training.

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FursaFursa
Northern Trust
Northern Trust
6 days ago

Registered Associate II

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Source: Company careers pageValidated by: Fursa AI
Last checked: 1 hour agoStatus: Live

Job Summary

Serve as a day-to-day client servicing partner by supporting account opening, account maintenance, and trade execution. Work closely with Financial Advisors and internal stakeholders to evaluate client needs in line with risk tolerance and market conditions, while building proactive relationships. Act as a subject-matter expert, manage client information in the CRM, maintain records in accordance with compliance requirements, and help guide teammates with informal training.
Location: Phoenix
Workplace: Onsite
Employment Type: Full time
Job Function: Customer Success & Account Management
Seniority: Mid level

Key Responsibilities

  • •Responsible for day-to-day client servicing including account opening, servicing/maintenance, and trade execution.
  • •Onboard new client relationships through correspondence, reports, new account paperwork, and advisory agreements.
  • •Support Financial Advisors in evaluating investment objectives aligned to client risk tolerance and income needs.
  • •Build and maintain relationships with Financial Advisors, business partners, and clients through proactive service.
  • •Maintain relevant client information and organize client records in accordance with firm, industry, and regulatory compliance.

Key Requirements

  • •Required FINRA Securities Industry Essentials Exam (SIE) and Series 7 or 7TO, and Series 63/65 or 66.
  • •Three or more years working in a client-facing service role in brokerage, investment advisory, or financial services is preferred.
  • •Thorough knowledge of investment products (stocks, bonds, mutual funds, options).
  • •Excellent analytical, verbal, and written communication skills are required.
  • •Technical skills/systems knowledge (Microsoft Office; Wealthscape, Morningstar Analytics, and Thomson ONE recommended).
Experience:Financial services
Education:Bachelor's
Skills:CommunicationAnalytical thinkingOrganizational skillsProblem-solvingRelationship building
Certifications:FINRA SIESeries 7Series 7TOSeries 63Series 65Series 66
Tech Stack:Microsoft OfficeWealthscapeMorningstar AnalyticsThomson ONEClient Relationship Management (CRM)

Company Brief

Northern Trust
Global financial services firm providing wealth management, asset servicing, asset management, and banking solutions to institutions, corporations, and affluent individuals, with a focus on custody, investment management, and technology-driven services.
Industry: Asset Management
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Chicago, United States
Founded: 1889
Glassdoor
Glassdoor: 3.9
WebsiteLinkedIn