Financial Risk Associate Jobs in Rancho Palos Verdes, CA

About Northern Trust
As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world's most successful individuals, families, corporations and institutions.
Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide.
With more than 135 years of financial experience and over 24,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
Position Summary:
This is a strategic sales development role within Northern Trust Securities, Inc (NTSI). In partnership with a Senior Financial Advisor, this motivated and client-focused individual will work to help increase client outreach, development, and revenue. Participating in both administrative and sales aspects of a portfolio conservation. This role also presents an opportunity to work independently to support the needs of the Advisor's brokerage and advisory clients.
Formulate research and recommendations to proactively engage in client conversations. The study and mastery knowledge of the eMoney Financial Planning tool, which will allow the AFA to begin to contribute in client meetings. The AFA will work with NTSI Capital Markets, Northern Trust Asset Management, and many Third-Party Asset Managers to develop expertise and knowledge to provide best in class execution and investment advice. This role will also work with internal partners to respond to client requests. It will be important for this role to continues to build knowledge of the company, processes, and book of clients. Engagement in prescribed guidelines, policies, and procedure in analyzing situations. Additional guidance will be provided by Sales Practice Principals and Sales Management.
As the Associate Financial Advisor progresses, there will be an ultimate expectation to build a book of clients and contribute to the revenue of the overall practice. Additional steps will also entail an opportunity to engage with Wealth Management Teams/Offices to support full-time. This position offers a clear path for career growth, mentorship from an experienced Financial Advisor, and the potential to develop into a lead Financial Advisor role that will be responsible for their own book of business and revenue expectations.
Major Duties:

• Support a Sr. Financial Advisor in managing client relationships, conducting financial analysis, and prepare materials for client meetings.
• Consults with clients to identify and update goals, objectives, and appetite for risk.
• Collaborates with Sr Financial Advisor to help provide solutions and strategies towards accomplishing clients' goals.
• Develop knowledge of investment markets to add value in client conversations.
• Interact with partners on a daily basis to communicate information on client relationship.
• Gain experience to provide to proactive recommendations in support of Sr Financial Advisor.
• Build confidence to have a role in client meetings and taking on client relationships.
• Solves problems in a clear and straightforward process.
• Additional support for day-to-day client servicing which may include account opening, account servicing, and account maintenance.
• Evaluate 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.
• Update relevant client information in Client Relationship Management system.
• Organize and maintain client records in accordance with firm, industry, and regulatory policies.

Qualifications:

• 1-3 years of securities industry and sales experience.
• Must have broad based knowledge of all securities products, options expertise preferred
• Required FNRA Securities license: Securities Essentials Exam (SIE), Series 7, 66 (or 63/65)
• Strong written and oral communication skills
• Individual must be goal driven and self-motivated.
• Ability to manage multiple tasks and work collaboratively in a team-oriented environment
• Some travel may be required.
• Bachelor's Degree in Finance, Business, Economics, or a related field
• Experience in working in a client facing service role in the brokerage, investment advisory or financial services environment is preferred.

Salary Range:
$85,330 - 145,130 USD
Salary range is a good faith estimate of base pay. Northern Trust provides a comprehensive benefits package including 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, and other voluntary and well-being benefits. Northern Trust also provides a discretionary bonus program that may include an equity component.
Work Authorization
Applicants must be authorized to work in the U.S. without the need for employment-based visa sponsorship now or in the future. Northern Trust will not sponsor applicants for U.S. work visa status for this opportunity (no sponsorship is available for H-1B, L-1, TN, O-1, E-3, H-1B1, F-1, J-1, OPT, CPT or any other employment-based visa).
Working with Us
As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to an inclusive workplace and assisting the communities we serve.
Philanthropy is deeply rooted in Northern Trust's history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.
Reasonable Accommodation
Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com, or alternatively you can discuss your individual requirements with the recruiter you are working with.