CAREERS

Northern Trust Securities - Sales Practice Principal

📁
Brokerage
📅
85075 Requisition #

Northern Trust Securities - Sales Practice Principal

 

Northern Trust Securities, Inc. (NTSI) is a wholly-owned subsidiary of Northern Trust Corporation. Through NTSI, our wealth managements client’s partner with dedicated professionals to create tailored Brokerage solutions for personal high net worth investors.

 

Sales Practice Principal provides support for the NTSI National Practice Lead and is responsible for delegated daily brokerage activities, review of sales practice responsibilities, ongoing partner development, management of associates in east region, integration of NTSI, and other duties or special projects as assigned. Conducts performance management and career development processes, and staffing and disciplinary actions.

 

  • Monitors and reviews procedures and practices of partners to ensure compliance with applicable regulatory requirement, industry sales practices and adherence to internal policies.
  • Review of trade activity, correspondence and trade exception reports.
  • Integration of NTSI within firm initiatives and the furtherance of teamwork.
  • Stays up-to-date of current and pending laws, regulations, and rules governing the industry.
  • Coordinates partner development to include onboarding, orientation and ongoing training.
  • Conducts performance management and career development processes, provides input for staffing and disciplinary actions and provides hands-on training to Associate Investment Specialists.
  • Identifies, escalates and resolves client and audit issues.
  • Maintains relationships with and works to collaborate with NTSI Operations, Trade Desk, Trade Support, and Compliance as well as regional branch locations and national business units.
  • Participation in regular interdepartmental meetings and/or special projects seeking to improve policies, procedures, controls and our partners’ experience related to NTSI.
  • Operates independently; has in-depth knowledge of business unit / function
  • As subject area expert, provides comprehensive, in-depth consulting and leadership to team and partners at a high technical level
  • 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
  • Conducts performance management and career development processes, provides input for staffing and disciplinary actions and provides hands-on training to staff
  • Develops periodic goals, organizes the work, sets short-term priorities, monitors all activities, and ensures timely and accurate completion of the work.
  • Provides input and support to budget management process.

Qualifications

  • FINRA Series SIE, 7, 66, 24, 4 and 52TO/53 or 9/10 registrations. 
  • Minimum three years of experience, preferably in compliance or supervision; or equivalent financial services industry related experience
  • Bachelors degree or comparable financial services industry related experience
  • Knowledge of applicable FINRA and SEC laws and regulations, usually acquired through formal education or experience, to review trade activity, sales practice responsibilities, and to ensure compliance with policies and procedures.
  • Leadership skills to assess partner competencies develop skills and provide guidance.
  • Analytical and communication skills to analyze and summarize information
  • Organizational skills to coordinate sales practice supervision activities.
  • Project management skills to plan, organize and deliver innovative solutions for NTSI.

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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), 1800-425-0333 (India), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
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    • APAC/INDIA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

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    • Canada EEO STATEMENT

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  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement