CAREERS

Northern Trust Securities – Registered Associate - Chicago

📁
Brokerage
📅
86186 Requisition #

Northern Trust Securities – Registered Associate – Chicago

 

Description

The Registered Associate (RA) is responsible for managing client relationships.  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.  

 

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

Qualifications

 

  • A College or University degree
  • FINRA Series 7 and 66 are required
  • At least three years of securities industry experience
  • Excellent analytical, verbal, and written communication skills
  • Thorough knowledge of investment products through prior work experience is required (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, SalesForce

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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