Client Onboarding, Institutional Brokerage

Client Onboarding, Institutional Brokerage

Under general supervision (but works independently most of the time) responsible for onboarding new clients and additional accounts for existing clients at Northern Trust Securities, Inc. (NTSI). Communicates daily with institutional clients, custodians and partner areas to insure a high touch client experience.

1. Provides administrative support to brokers by processing new account applications, obtaining necessary account documents from client, resolving inquiries and handling account transfers.
2. Ensure all documentation received / submitted for processing is up to date and meets all regulatory requirements. Coordinate with multiple partner areas and custodians to ensure timely and accurate set-up of account details and supplemental services.
3. Researches and resolves inquiries and communicates resolution to appropriate parties.
4. Carries out complex activities with significant financial, client, and / or internal business impact.
5. May have direct interaction with committees and / or Senior Management.
6. Able to serve as a key subject matter expert and mentor to other more junior level employees.
7. More technically sound in area of expertise and has broader knowledge of other areas.
8. Delivers a work product that requires less revision.
9. Able to facilitate discussions and reach decisions.

• FINRA Securities Industry Essentials® (SIE®) Exam, Series 7TO (Top-Off) and Series 63 are required.
• Excellent oral and written communication skills are required.
• Security / investment industry knowledge is required.
• Excellent analytical, verbal and written communication skills.
• Ability to multitask with strong analytical and problem solving skills.
• Technical skills / systems knowledge (e.g. Peoplesoft, Microsoft Office) is required.
• A College or University degree and / or some relevant security industry work experience is preferred.

Working with Us: As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!

• Gender Equality Index Member, Bloomberg
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