Registered Associate, PCS
NTSI Brokerage Service Group Registered Associate
Serve as a centralized point of support and servicing for NTSI Brokerage clients and partners primarily via phone calls. Responsibilities include servicing of clients by responding to inquiries about Brokerage’s products and services. Other duties include but are not limited to performing functional transactions on behalf of a client (such as trades, cashiering, ACATs, new accounts etc.), researching and resolving inquiries and communicating resolution to appropriate parties, responding to email inquiries submitted via SalesForce/CASE, accurately processing solicited and unsolicited trades, answering market and product questions, and recommending process improvements to unit management. An awareness of regulatory changes and impact to the Brokerage industry is helpful.
Major Duties:
• Act as initial contact for complex client or partner inquiries for brokerage and services by answering incoming phone calls.
• Follow documented Brokerage Team procedures to resolve inquiries and perform functional transactions accurately using the NT and Brokerage systems. Issues beyond the scope of responsibility are referred to the appropriate department.
• Document client calls including the initial inquiry and research or resolution of the issue. Route issues to the appropriate department when follow up is needed. Take ownership of any pending issue until completion, including making outbound calls to client to provide status updates.
• Responsively fulfill client service requests (applications, ACATs in and out, cashiering, trades).
• Acts as a liaison to internal staff and brokerage operations.
• Maintain and enhances client relationships.
• Researches the competitive market, exiting client base and potential client base.
• Accurate execution of trades and cashiering.
• Makes recommendations to clients in their transactions to buy or sell stocks, bonds, unit investment trusts, or other security products and close the sale of these transactions.
• Carries out complex activities with significant financial, client and/or internal business impact.
• Work with committees and may have direct interaction with Senior Management.
• Meet internal statistical targets for quality and efficiency enabling the team to meet service level commitments.
• Identify potential problem situations, trends and improvement opportunities. Recommend enhancements to team for client, products or services based on inquiries received.
• Apply feedback from monthly 1-1 meetings to continuously improve performance.
• Participate in annual HR coursework (compliance etc.) and monthly staff meetings.
• Able to work independently and deliver a work product requiring minimal revision.
• Able to facilitate discussions and make decisions independently.
Knowledge/Skills:
Knowledge of brokerage products usually acquired through training programs or experience is required to support products for the clients within NTSI Brokerage Service Group. In order to resolve inquiries and manage workflow, strong analytical, organizational and multi-tasking skills are necessary. Excellent interpersonal, verbal and written skills are a must. Technical aptitude for navigating systems and applications using a Windows based PC is required. Familiarity with Avaya phones, CMS, Verint/Codec, eRM, FBSI, Passport, Streetscape, EDM, BPM, and SalesForce is a plus. The environment is fast-paced and challenging. Members of the team must have the ability to work individually and collaboratively as well. Also, must be flexible in adapting to rapidly changing business conditions.
A college or University degree and/or some relevant security
industry work experience is required. Related industry qualification (e.g.
Series 7 and Series 66 required by the
FINRA)
For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.
We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.
As of December 31, 2018, Northern Trust Corporation had:
$10.1 trillion in assets under custody/administration
$7.6 trillion in assets under custody
$1.1 trillion in assets under management
$132 billion in banking assets