Associate Financial Advisor

Northern Trust • Los Angeles, CA

1d • $85,330 - $145,130 • Hybrid

About The Position

This is a strategic sales development role within Northern Trust Securities, Inc (NTSI). In partnership with a Senior Financial Advisor, this motivated and client-focused individual will work to help increase client outreach, development, and revenue. Participating in both administrative and sales aspects of a portfolio conservations. This role also presents an opportunity to work independently to support the needs of the Advisor’s brokerage and advisory clients. Formulate research and recommendations to proactively engage in client conversations. The study and mastery knowledge of the eMoney Financial Planning tool, which will allow the AFA to begin to contribute in client meetings. The AFA will work with NTSI Capital Markets, Northern Trust Asset Management, and many Third-Party Asset Managers to develop expertise and knowledge to provide best in class execution and investment advice. This role will also work with internal partners to respond to client requests. It will be important for this role to continues to build knowledge of the company, processes, and book of clients. Engagement in prescribed guidelines, policies, and procedure in analyzing situations. Additional guidance will be provided by Sales Practice Principals and Sales Management. As the Associate Financial Advisor progresses, there will be an ultimate expectation to build a book of clients and contribute to the revenue of the overall practice. Additional steps will also entail an opportunity to engage with Wealth Management Teams/Offices to support full-time. This position offers a clear path for career growth, mentorship from an experienced Financial Advisor, and the potential to develop into a lead Financial Advisor role that will be responsible for their own book of business and revenue expectations.

Requirements

• 1-3 years of securities industry and sales experience.
• Must have broad based knowledge of all securities products, options expertise preferred
• Required FNRA Securities license: Securities Essentials Exam (SIE), Series 7, 66 (or 63/65)
• Strong written and oral communication skills
• Individual must be goal driven and self-motivated.
• Ability to manage multiple tasks and work collaboratively in a team-oriented environment
• Some travel may be required.
• Bachelor’s Degree in Finance, Business, Economics, or a related field

Nice To Haves

• Experience in working in a client facing service role in the brokerage, investment advisory or financial services environment is preferred.

Responsibilities

• Support a Sr. Financial Advisor in managing client relationships, conducting financial analysis, and prepare materials for client meetings.
• Consults with clients to identify and update goals, objectives, and appetite for risk.
• Collaborates with Sr Financial Advisor to help provide solutions and strategies towards accomplishing clients’ goals.
• Develop knowledge of investment markets to add value in client conversations.
• Interact with partners on a daily basis to communicate information on client relationship.
• Gain experience to provide to proactive recommendations in support of Sr Financial Advisor.
• Build confidence to have a role in client meetings and taking on client relationships.
• Solves problems in a clear and straightforward process.
• Additional support for day to day client servicing which may include account opening, account servicing, and account maintenance.
• Evaluate investment objectives to provide guidance to clients as appropriate given risk tolerance, income needs, and current market environment.
• Works with internal partners (Sales, Operations, Management, or other relationship managers) to respond to client needs/requests.
• Update relevant client information in Client Relationship Management system.
• Organize and maintain client records in accordance with firm, industry, and regulatory policies.

Benefits

• 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
• other voluntary and well-being benefits
• discretionary bonus program that may include an equity component

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level