Registered Associate

Northern Trust • Chicago, IL

1d • Onsite

About The Position

Under general supervision, the Registered Associate 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.

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: Mid Level
• Education Level: Associate degree
• Number of Employees: 5,001-10,000 employees