Registered Associate

The Registered Associate (RA) is responsible for managing client relationships of one or more Financial Advisors. The RA acts as a liaison between clients, Financial Advisors, and internal partners to respond to client needs and/or requests, utilizes an understanding of the investment industry and relevant financial markets to provide exceptional client service, and supports development of investment strategies based on individual client objectives and market trends. The RA partners with the Financial Advisor to identify opportunities for business growth and contributes to team production goals.
Responsible for day-to-day client servicing, including account opening, account servicing, and trade execution.
Supports Financial Advisor(s) in the process of evaluating 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.
Acts as subject area expert providing comprehensive, in-depth consulting and leadership to the team and partners at a high technical level.
Maintains relevant client information in Client Relationship Management system.
Carries out activities that are large in scope, cross-functional, and technically challenging.
Role is balanced between high-level operational execution and development, and execution of strategic direction of business function activities.
Responsible for direct interaction with different committees and/or management.
Strategic in developing, implementing and administering programs within functional areas.
A College or University degree is preferred, and FINRA Series 7 and 66 are required. At least three years of securities industry experience is preferred. Excellent analytical, verbal, and written communication skills are required. Thorough knowledge of investment products through prior work experience is required (stocks, bonds, mutual funds, options). Organizational skills and the ability to prioritize are essential. Technical skills / systems knowledge (e.g. Microsoft, Wealthscape, Morningstar, Thomson ONE, Envestnet Analytics) are recommended.
For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world's most-sophisticated clients - from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.
We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.
As of September 30, 2018, Northern Trust Corporation had:
$10.8 trillion in assets under custody/administration
$8.2 trillion in assets under custody
$1.2 trillion in assets under management
$132 billion in banking assets

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