CAREERS

Registered Associate – Wealth Management Brokerage

📁
Brokerage
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76749 Requisition #
Northern Trust has a great opportunity for someone looking to learn the brokerage business and work alongside and be mentored by the top financial advisor.  This role is often a great springboard to other opportunities within the company.

The Registered Associate (RA) is responsible for managing client relationships of one or more Financial Advisors. The RA 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 client service, and supports development of investment strategies based on individual client objectives and market trends. The RA partners with the Financial Advisor to identify opportunities for business growth and contributes to team production goals. 

The key responsibilities of the role include:  
  1. Responsible for day-to-day client servicing, including account opening, account servicing, and trade execution. 
  2. 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. 
  3. Works with internal partners (Sales, Operations, Management, or other relationship managers) to respond to client needs/requests. 
  4. Acts as subject area expert providing comprehensive, in-depth consulting and leadership to the team and partners at a high technical level. 
  5. Maintains relevant client information in Client Relationship Management system. 
  6. Carries out activities that are large in scope, cross-functional, and technically challenging. 
  7. Role is balanced between high-level operational execution and development, and execution of strategic direction of business function activities. 
  8. Responsible for direct interaction with different committees and/or management. 
  9. Strategic in developing, implementing and administering programs within functional areas. 


The successful candidate will benefit from having: 

  • A College or University degree is preferred.
  • FINRA Series 7 and 66 are required, or the ability to obtain within specified timeframe.
  • At least two years of securities industry experience is preferred. 
  • Excellent analytical, verbal, and written communication skills are required. 
  • Thorough knowledge of investment products through prior work experience is preferred (stocks, bonds, mutual funds, options). 
  • Organizational skills and the ability to prioritize are essential. 
  • Technical skills / systems knowledge (e.g. Microsoft, Wealthscape, Morningstar, Thomson ONE, Envestnet Analytics) are recommended.

About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service. 


Working with Us:
As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!                
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018. 
We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and ethical companies. Build your career with us and apply today.

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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
  • APAC/India EEO Statement
    • 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.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • 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