Registered Associate II

Northern Trust • Tempe, AZ

12h • Onsite

About The Position

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.

Requirements

• 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.

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 5,001-10,000 employees