Registered Associate II

Registered Associate II

The Registered Associate II provides day-to-day support to one or more Financial Advisors by managing client service needs and acting as a key liaison between clients, advisors, and internal partners. This role requires a strong understanding of investment products, brokerage operations, and regulatory requirements to deliver high-quality, proactive client service.

The associate supports client relationships through account servicing, onboarding, and trade execution while contributing to the development and execution of investment strategies aligned to client objectives and market conditions.

Key Responsibilities

• Serve as a primary point of contact for client servicing, including account opening, maintenance, and trade execution
• Onboard new client relationships by preparing and processing account documentation, advisory agreements, and related correspondence
• Support Financial Advisors in evaluating client investment objectives, risk tolerance, income needs, and market conditions
• Deliver proactive, high-quality service to clients, Financial Advisors, and internal business partners
• Collaborate with internal teams (Sales, Operations, Management, and relationship managers) to resolve client inquiries and requests
• Maintain accurate and up-to-date client information in the Client Relationship Management (CRM) system
• Organize and maintain client records in compliance with firm, industry, and regulatory requirements
• Act as a subject-matter resource for associates and advisors by sharing technical knowledge and best practices
• Participate in cross-functional initiatives and support business process improvements within the function

Qualifications

• Bachelor's degree preferred
• FINRA licenses required: SIE, Series 7 or 7TO, and Series 63/65 or 66
• Minimum of 2 years of experience in a client-facing role within brokerage, investment advisory, or financial services
• Strong working knowledge of investment products (stocks, bonds, mutual funds, options)
• Excellent verbal, written, and analytical communication skills
• Strong organizational skills with the ability to prioritize and manage multiple tasks
• Proficiency with Microsoft Office; experience with Wealthscape, Morningstar Analytics, and Thomson ONE preferred
• Ability to explain complex information clearly and effectively
• Demonstrated ability to support and mentor less-experienced team members

Work Environment

This is an in-office position. All duties and responsibilities must be performed onsite.

Location: 1100 E Las Olas Blvd Fort Lauderdale, FL 33301

Salary Range:

$64,125 - 105,925 USD

Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including retirement benefits (401k and pension), health and welfare benefits (medical, dental, vision, spending accounts and disability), paid time off, parental and caregiver leave, life & accident insurance, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component.

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 View email address on click.appcast.io.

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.