Registered Associate II

Northern Trust

. Handle day-to-day client servicing, including account opening, account servicing and maintenance, and trade execution .

Posted 9/24/2026full-timeTempe • Arizona • United StatesJuniorMid-LevelWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in client servicing and relationship management within the financial services sector, with a strong focus on investment products and compliance. Proficient in analyzing client needs and providing tailored guidance while maintaining accurate client records and adhering to regulatory standards.

Highest-signal resume keywords

Client Relationship ManagementInvestment Product KnowledgeFINRA Securities Industry Essentials Exam (SIE)Series 7 or 7TOMicrosoft Office

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Account OpeningTrade ExecutionClient ServicingAnalytical SkillsOrganizational SkillsTechnical Systems KnowledgeProblem AnalysisProgram DevelopmentCompliance ManagementInvestment Advisory

Soft Skills

Verbal CommunicationWritten CommunicationRelationship BuildingLeadershipPrioritization

Tools & Technologies

WealthscapeMorningstar AnalyticsThomson ONE

Certifications & Qualifications

FINRA Series 63FINRA Series 65FINRA Series 66

Industry Keywords

Financial ServicesBrokerageInvestment AdvisoryClient-Facing ServiceRegulatory Requirements

About the role

Key responsibilities & impact

Handle day-to-day client servicing, including account opening, account servicing and maintenance, and trade execution
Onboard new client relationships through correspondence, reports, new account paperwork, and advisory agreements
Support Financial Advisors in evaluating investment objectives and providing guidance based on risk tolerance, income needs, and market conditions
Build relationships with Financial Advisors, internal and external business partners, and clients through proactive service
Work with Sales, Operations, Management, and relationship managers to respond to client needs and requests
Serve as a subject matter expert and provide consulting, leadership, guidance, and training to associates, advisors, and new team members
Maintain client information in the Client Relationship Management system
Organize and maintain client records in compliance with firm, industry, and regulatory requirements
Execute large-scope, cross-functional, and technically challenging activities
Balance operational execution and development with strategic direction of business-function activities
Interact directly with committees and management
Develop, implement, and administer programs within functional areas
Analyze problems and solutions using technical experience, judgment, and precedents
Work within established guidelines and policies

Requirements

What you’ll need

Excellent analytical, verbal, and written communication skills
Thorough knowledge of investment products, including stocks, bonds, mutual funds, and options
Organizational skills and ability to prioritize
Technical/systems knowledge; Microsoft Office, Wealthscape, Morningstar Analytics, and Thomson ONE recommended
Expanded conceptual knowledge in own job discipline
FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO, and 63/65 or 66 required
College or University degree preferred
Three or more years working in a client-facing service role in brokerage, investment advisory, or financial services preferred

Benefits

Comp & perks

Flexible and collaborative work culture
Movement within the organization is encouraged
Accessible senior leaders
Inclusive workplace commitment
Opportunities to assist the communities served
Philanthropy and community service opportunities