Registered Associate, PCS
Northern Trust Securities – Registered Associate – Chicago
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.
- Answers inbound calls to the Brokerage Service Group service center.
- 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.
- 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.
- 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.
- Develops a strong knowledge of the various business applications critical to client and account servicing, including on-line tools.
- Where appropriate, strives to identify service efficiency and delivery enhancements, as well as process improvements
- Assists with new partner onboarding.
- 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
- 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.
About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With over 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
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!
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why we are honored to receive the following awards in 2021:
- Gender Equality Index Member, Bloomberg
- Top Financial & Banking Company, Black EOE Journal, Hispanic Network Magazine, Professional WOMAN'S Magazine
We’d love to learn more about how your interests and experience could be a fit with one of America’s best banks and most sustainable companies! Build your career with us and apply today.
For further information, and to apply, please visit our website via the “Apply” button below.