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NTSI Brokerage Service Group Registered Associate

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Brokerage
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77442 Requisition #
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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.

The key responsibilities of the role include:
  • 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.

The successful candidate will benefit from having:
  • A college or University degree and/or some relevant security industry work experience is required. 
  • FINRA Series 7 and Series 66 licenses or the ability to obtain.

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 March 31,2019, Northern Trust Corporation had:

$10.9 trillion in assets under custody/administration
$8.2 trillion in assets under custody
$1.2 trillion in assets under management
$122 billion in banking assets 

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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), +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 EEO Statement
    • APAC 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