Northern Trust

1 week ago

Registered Associate II

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI

Last checked: 48 minutes agoStatus: Live

Job Summary

Provide day-to-day client servicing, including account opening, maintenance, and trade execution, while onboarding new client relationships through documentation and advisory agreements. Support Financial Advisors by evaluating investment objectives and helping guide clients based on risk tolerance and market conditions. Serve as a subject-matter resource for associates and advisors, manage client information in the CRM, and maintain records in line with regulatory requirements.

Location: United States

Workplace: Onsite

Employment Type: Full time

Job Function: Customer Success & Account Management

Seniority: Mid level

Key Responsibilities

•Provide day-to-day client servicing, including account opening, account servicing and maintenance, and trade execution.
•Onboard new client relationships through correspondence, reports, new account paperwork, and advisory agreements.
•Support Financial Advisors in evaluating investment objectives and providing guidance based on risk tolerance, income needs, and current market environment.
•Build relationships with Financial Advisors, internal/external business partners, and clients through proactive service, and coordinate with internal partners to respond to client requests.
•Maintain client information in the Client Relationship Management system and organize client records in accordance with firm, industry, and regulatory compliance.

Key Requirements

•FINRA Securities Industry Essentials Exam (SIE) and Series 7 or 7TO, and 63/65 or 66 are required.
•Three or more years working in a client-facing service role in the brokerage, investment advisory, or financial services environment is preferred.
•Thorough knowledge of investment products including stocks, bonds, mutual funds, and options is required.
•Excellent analytical, verbal, and written communication skills are required.
•Strong organizational skills with the ability to prioritize are essential.

Experience:Financial servicesBrokerageInvestment advisory

Skills:Analytical skillsCommunicationOrganizational skillsProblem-solvingPrioritization

Certifications:FINRA Securities Industry Essentials (SIE)Series 7Series 7TOSeries 63Series 65Series 66

Tech Stack:Microsoft OfficeWealthscapeMorningstar AnalyticsThomson ONEClient Relationship Management (CRM)

Eligibility

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

Glassdoor: 3.9

Website LinkedIn

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Northern Trust

1 week ago

Registered Associate II

✓ Verified Job

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

Source: Company careers pageValidated by: Fursa AI

Last checked: 48 minutes agoStatus: Live

Job Summary

Location: United States

Workplace: Onsite

Employment Type: Full time

Job Function: Customer Success & Account Management

Seniority: Mid level

Key Responsibilities

•Provide day-to-day client servicing, including account opening, account servicing and maintenance, and trade execution.
•Onboard new client relationships through correspondence, reports, new account paperwork, and advisory agreements.
•Support Financial Advisors in evaluating investment objectives and providing guidance based on risk tolerance, income needs, and current market environment.
•Build relationships with Financial Advisors, internal/external business partners, and clients through proactive service, and coordinate with internal partners to respond to client requests.
•Maintain client information in the Client Relationship Management system and organize client records in accordance with firm, industry, and regulatory compliance.

Key Requirements

•FINRA Securities Industry Essentials Exam (SIE) and Series 7 or 7TO, and 63/65 or 66 are required.
•Three or more years working in a client-facing service role in the brokerage, investment advisory, or financial services environment is preferred.
•Thorough knowledge of investment products including stocks, bonds, mutual funds, and options is required.
•Excellent analytical, verbal, and written communication skills are required.
•Strong organizational skills with the ability to prioritize are essential.

Experience:Financial servicesBrokerageInvestment advisory

Skills:Analytical skillsCommunicationOrganizational skillsProblem-solvingPrioritization

Certifications:FINRA Securities Industry Essentials (SIE)Series 7Series 7TOSeries 63Series 65Series 66

Tech Stack:Microsoft OfficeWealthscapeMorningstar AnalyticsThomson ONEClient Relationship Management (CRM)

Eligibility

Work Authorization:Authorization required. Sponsorship not provided.

Company Brief

Northern Trust

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: 3.9

Website LinkedIn