Under direct supervision, the NTSI Brokerage Service Group Registered Associate is responsible for supporting Wealth Brokerage through processing various administrative and operational activities related to broker dealer’s products and services. Primary activities include establishing, maintaining and closing client accounts, addressing client inquiries, executing money and movements, preparing and producing client serving materials as well as ensuring accurate and complete account and client records. Of critical importance is the Registered Associates’ adherence to the policies and procedures involved with requested activities. The Registered Associate utilizes an understanding of the investment industry and relevant financial markets to provide exceptional client service. Requires working knowledge and experience in own job discipline. Continues to build knowledge of the company, processes and clients. Receives a moderate level of guidance and direction. 1.Answers inbound calls to the Brokerage Service Group service center.2.Executes client account servicing activities as requested by client and partners within appropriate time frames, including but not limited to the processing of wires and fund transfers, cash movement, gift processing, preparing required documentation, opening and closing accounts, and researching of client issues.3.Develops a strong understanding of required steps involved with each request, communicating NTSI operations teams as appropriate to obtain necessary information to properly execute the requested activity.4.Addresses the requirements of each activity in a timely fashion and in strict adherence with Northern Trust and Wealth Management Risk Management and NTSI Compliance policies and procedures, promptly escalating any issues and/or concerns to management.5.Develops a strong knowledge of the various business applications critical to client and account servicing, including on-line tools.6.Where appropriate, strives to identify service efficiency and delivery enhancements, as well as process improvements7.Assists with new partner onboarding.
•A College or University degree and/or some relevant financial services industry work experience is required.•FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO and Series 66 registrations are required or willingness to acquire within a prescribed time. •Excellent verbal and written communication skills are required.•Security/investment industry knowledge is required.•Analytical and problem solving skills are required.•Technical skills / systems knowledge (e.g. Microsoft Office 365) is required.
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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.
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.
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.
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.
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.
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