Registered Associate II
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.
Registered Associate II
Under general supervision, the Registered Associate II supports one or more Financial Advisors by managing day-to-day client service and account administration.
Key Responsibilities
- Provide day-to-day client service, including account opening, maintenance, and trade execution.
- Onboard new client relationships by coordinating correspondence, reports, new account documentation, and advisory agreements.
- Support Financial Advisor(s) in gathering information and evaluating investment objectives, considering risk tolerance, income needs, and market conditions.
- Build strong relationships with clients, Financial Advisors, and internal/external partners through proactive, responsive service.
- Partner with internal teams (e.g., Sales, Operations, Management, Relationship Managers) to address client needs and resolve issues.
- Maintain accurate and complete client information in the Client Relationship Management (CRM) system.
- Organize and retain client records in accordance with firm policies and industry/regulatory requirements.
- Serve as a subject-matter resource for associates and advisors by providing guidance, consulting support, and on-the-job coaching as needed.
Qualifications
- College or university degree preferred.
- FINRA Securities Industry Essentials (SIE) Exam, Series 7, and Series 66 required (or ability to obtain within 90 days).
- 2+ years in a client-facing service role within brokerage, investment advisory, or financial services preferred.
- Strong analytical, verbal, and written communication skills.
- Thorough knowledge of investment products (e.g., stocks, bonds, mutual funds, options).
- Strong organizational skills with the ability to prioritize and manage multiple requests.
- Technical proficiency and systems knowledge (e.g., Microsoft Office, Wealthscape, Morningstar Analytics, Thomson ONE).
- Ability to serve as a resource to colleagues by providing informal guidance and training.
In Office
This is an office-based position; duties and responsibilities must be performed onsite.
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Working with Us:
As a Northern Trust partner, greater achievements await. You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
We’d love to learn more about how your interests and experience could be a fit with one of the world’s most admired and sustainable companies! Build your career with us and apply today. #MadeForGreater
Reasonable accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at [email protected].
We hope you’re excited about the role and the opportunity to work with us. We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
About Our Tempe Office
The Northern Trust Tempe office opened in 2015 with 75 employees and now serves over 75 different business functions with more than 700 employees. The team is recognized as a Global Capability Center that delivers exceptional value, quality, expertise and innovation through our diverse talent. Learn more.
