Sales Practice Principal

Northern Trust
Chicago, St. Petersburg, Florida, Arizona
Workplace: OnsiteFull timeUSD 95,600 - 162,400 annuallyFunction: SalesExperience: 3+ yearsSkills: ["Leadership","Communication","Analytical","Organizational","Project management"]

Supervise the daily front-office, client-facing activities of registered representatives in retail brokerage. Oversee sales practice compliance by monitoring trade activity, correspondence, and trade exception reports, and by staying current on FINRA/SEC rules. Lead performance management and hands-on coaching of Registered Associates across an assigned region, coordinate with operations/compliance/trading partners, and help identify, escalate, and resolve client complaints and audit issues while ensuring adherence to policies and client service standards.

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FursaFursa
Northern Trust
Northern Trust
1 month ago

Sales Practice Principal

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 7 hours agoStatus: Live
Reposted: similar role first listed 1 month ago

Job Summary

Supervise the daily front-office, client-facing activities of registered representatives in retail brokerage. Oversee sales practice compliance by monitoring trade activity, correspondence, and trade exception reports, and by staying current on FINRA/SEC rules. Lead performance management and hands-on coaching of Registered Associates across an assigned region, coordinate with operations/compliance/trading partners, and help identify, escalate, and resolve client complaints and audit issues while ensuring adherence to policies and client service standards.
Location: Chicago, St. Petersburg, Florida, Arizona
Workplace: Onsite
Employment Type: Full time
Job Function: Sales
Seniority: Manager level

Key Responsibilities

  • •Supervise the day-to-day front office and client-facing activities of registered representatives within retail brokerage.
  • •Monitor and review partner procedures and practices to ensure compliance with regulatory requirements, industry sales practices, and internal policies.
  • •Review trade activity, correspondence, and trade exception reports to support sales practice compliance.
  • •Conduct performance management and career development, provide staffing/disciplinary input, and deliver hands-on training to Registered Associates.
  • •Coordinate sales practice and compliance activities across an assigned region, collaborate with operations/compliance/trading groups, and resolve client complaints and audit issues.

Pay and Benefits

Salary: USD 95,600 - 162,400 annually
Equity and Bonus:Equity
Perks:401kPensionMedicalDentalVisionPaid LeaveParental LeaveCaregiver LeaveDisabilityLife InsuranceSpending AccountsAccident Insurance

Key Requirements

  • •FINRA Securities Industry Essentials (SIE), 7 or 7TO, 66, 24, 4, and 53 or 52 & 53TO registrations required or willingness to acquire within a specified time.
  • •Minimum three years of experience, preferably in compliance or supervision, or equivalent financial services experience.
  • •Previous management or supervisory experience.
  • •Knowledge of applicable FINRA and SEC laws/regulations to review trade activity, sales practice responsibilities, and ensure compliance with policies and procedures.
  • •A college or university degree and/or 5-10+ years of relevant work experience.
Experience:3+ yearsFinancial services
Skills:LeadershipCommunicationAnalyticalOrganizationalProject management
Certifications:FINRA Securities Industry Essentials (SIE)FINRA Series 7 or 7TOFINRA Series 66FINRA Series 24FINRA Series 4FINRA Series 53 or 52 & 53TO

Eligibility

Visa:H-1BL-1TNO-1E-3H-1B1F-1J-1OPTCPT
Work Authorization:Authorization required. Sponsorship not provided.

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
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Glassdoor: 3.9
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