CAREERS

Vice President - Financial Advisor - Northern Trust Securities

📁
Brokerage
📅
21028 Requisition #

Vice President - Financial Advisor – Northern Trust Securities

 

Northern Trust Securities, Inc. (NTSI) is a wholly owned subsidiary of Northern Trust Corporation. Through NTSI, our wealth managements client’s partner with dedicated professionals to create tailored Brokerage solutions for personal high net worth investors.

 

Our NTSI Financial Advisor provides a variety of investment solutions, as part of an overall Wealth Management strategy. The advisor will provide best in class execution and investment advice that is intended to help clients accomplish their financial goals and objectives.  Target clients include individuals and family offices with $2 to $200 Million.

 

Investment strategies include, but are not limited to, stocks, bonds, mutual funds, unit investment trusts, option strategies, 10b5-1s, structured notes, and fee-based solutions.

 

Responsibilities

  • Consults with clients to identify goals, objectives, and appetite risk
  • Provide complex, customized investment solutions and strategies allied with clients’ goals
  • Work and Partner with local Private Client ($2 to $20MM) and Wealth Advisory ($20 to $200MM) teams to identify, pursue, and develop clients and prospects that are compatible with Northern target profiles
  • Utilizes broad knowledge of the investment markets and terminology to inform and educate clients and internal partners around complex customized investment solutions.
  • Collaborates with NTSI traders to ensure excellence in execution
  • Participates in team planning and solutioning to drive client pursuits and implement complex, customized investment solutions and strategies to maximize sales success
  • Build internal relationship, regular communication, and Salesforce to ensure all members of the advisory team kept up to date on client interaction
  • Monitors the market and information sources to make appropriate and timely strategy decisions.
  • Sets business plan with manager based on experience and product knowledge
  • Providing the highest level of client service 
  • As an investment subject area expert, emerge as though leader supplying comprehensive, in-depth consulting across internal partners, clients, and prospects

The Vice President, Financial Advisor, will be an investment subject matter expert capable of delivering complex, customized investment solutions and strategies. 

 

Further candidates must possess a deep executive presence capable of building internal relations and teaming to form client relationships.  Overall, the ability to influence, develop partnerships and work within a team are paramount for success.

 

Technical understanding and ability to communicate with clients across;

 

  • Equity
  • Fixed Income
  • Options
  • Open and Closed End Mutual Funds
  • Fee-based accounts
  • Structured Products Unit Investment Trusts
  • Precious Metals
  • Exchange Funds
  • Concentrated equity position
  • Restricted stock services including 10b5-1 plans
  • Non USD trading
  • Custody Services (DVP)

 

The ideal candidate will have the following skills and experiences. Though each of the following items is not a requirement, a compelling combination of the following is a must:

 

  • 7+ years of securities industry and sales experience
  • 4-year university degree
  • Must have broad based knowledge of all securities products, options expertise preferred
  • Required Securities license: Series 7, 66 (or 63/65)
  • Professional designation preferred (CFP)
  • Strong sales, communication, and group presentation skills.
  • Individual must be goal driven

 

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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
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    • 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.

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    • 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.

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    • 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