Registered Associate II

About Northern Trust As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) guides the world’s most successful individuals, families, corporations and institutions. With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service. Responsibilities Responsible for day‑to‑day client servicing, including account opening, account servicing and maintenance as well as trade execution. Onboards new client relationships through correspondence, reports, new account paperwork, and advisory agreements. Supports Financial Advisor(s) in evaluating investment objectives to provide guidance to clients based on risk tolerance, income needs, and the current market environment. Builds relationships with Financial Advisors, internal and external business partners, and clients by delivering exceptional proactive service. Works with internal partners (Sales, Operations, Management, or other relationship managers) to respond to client needs/requests. Serves as a subject‑area expert to other associates and advisors, providing comprehensive, in‑depth consulting and leadership to the team at a high technical level. Maintains relevant client information in the Client Relationship Management system. Organizes and maintains client records in accordance with firm, industry, and regulatory compliance. Carries out large‑scope, cross‑functional and technically challenging activities. Balances high‑level operational execution and development with the execution of strategic direction of business function activities. Interacts directly with different committees and/or management. Strategically develops, implements and administers programs within functional areas. Solve problems in straightforward situations. Analyzes possible solutions using technical experience, judgment and precedents. Impacts the quality of own work and the work of others on the team. Works within guidelines and policies. Knowledge Excellent analytical, verbal, and written communication skills. Thorough knowledge of investment products (stocks, bonds, mutual funds, options). Strong organizational skills and the ability to prioritize. Technical skills / systems knowledge (e.g., Microsoft Office, Wealthscape, Morningstar Analytics, Thomson ONE). Expanded conceptual knowledge in own job discipline. Understanding of key business drivers and using this understanding to accomplish own work. Ability to explain complex information to others in straightforward situations. Experience College or University degree preferred. FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO and 63/65 or 66 required. Three or more years working in a client‑facing service role in the brokerage, investment advisory or financial services environment preferred. Acts as a resource for colleagues with less experience. Provides informal guidance and training to new team members. Work Authorization Applicants must be authorized to work in the U.S. without the need for employment‑based visa sponsorship now or in the future. Northern Trust will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H‑1B, L‑1, TN, O‑1, E‑3, H‑1B1, F‑1, J‑1, OPT, CPT or any other employment‑based visa). 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 committed to an inclusive workplace and assisting the communities we serve. Reasonable Accommodation Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at View email address on click.appcast.io, or alternatively discuss your individual requirements with the recruiter you are working with. 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. Equal Employment Opportunity Statements 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. 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. 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. 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. Candidate Privacy Notice and other legal disclosures are available upon request. #J-18808-Ljbffr 015 Northern Trust Securities, Inc