Registered Associate II

Northern Trust • Tempe, AZ

1d • Onsite

About The Position

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. #LI-LG1 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. Looking for greater? You found it. A global financial leader with more than 22,000 employees in 23 locations worldwide, Northern Trust empowers our employees to achieve more than just business goals. Our focus on work-life balance, career mobility and unique opportunities are just a few of the reasons we’ve been named one of the world’s most admired companies. Terms and Conditions Candidate Privacy Notice California Applicant Privacy Notice Pay Transparency Nondiscrimination Provision (U.S) Transparency in Coverage Disclosure – North America Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), [phone] (Asia Pacific), 1800-425-0333 (India), [phone] (Europe, Middle East and Africa) and let us know the nature of your request and your contact information. 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. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development. 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. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development. 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. EEO Know Your Rights (U.S.)

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.

Nice To Haves

• College or university degree preferred.
• 2+ years in a client-facing service role within brokerage, investment advisory, or financial services preferred.

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