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    Sr Investment Associate - Dallas, United States - Northern Trust

    Northern Trust
    Northern Trust Dallas, United States

    2 weeks ago

    Northern Trust background
    Description

    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.

    Sr Investment Associate

    Ensures that portfolio materials are prepared for account review meetings with clients. Retrieves reports, desired by portfolio managers or requested by clients, off the internal systems.

    Sets-up files with account documentation for existing or new clients (i.e., involving automatic payment, pledging securities, address changes, statement addresses, investment guidelines, fees, etc.).


    Communicates with clients and portfolio managers on client requests. (Ensures that portfolio managers follow-up with client requests).

    Interacts with partners, primarily administratively, on a daily basis to receive and communicate information on all aspects of a client relationship or portfolio.

    Orders reports for portfolio managers or clients as requested.

    Works with the tax area to research discrepancies and oversee adjustments on client accounts regarding tax cost issues.

    Responds to client inquiries for account information or to initiate transactions requested by the client (i.e., re-register gift stock, remit proceeds, sell gifts, etc.).

    Processes physical stock/bond certificates and completes DTC transfers.

    Reviews / Analyzes inbound asset transfers to ensure suitability/compatibility with NT Investment Platform and Compliance standards.

    Assists in review/preparation/follow-up of annual investment compliance reviews.


    Collaborates with investment team and broader Wealth Management team members in an effort to manage internal & client related tasks.

    Performs tasks in a manner that reflects self-responsibility & accountability.


    Listens to Investments Strategy and Product calls with the intention of sharing/re-distributing information from the call with the Investment Team.

    Begins to make presentations to Northern Trust Wealth Management & Investment team personnel.

    Follows-up with client on inquiries via the telephone or written correspondence.

    Processes client cash transfer requests. Determines if funds are available in the investment account. Contacts Investment Advisor if cash needs to be raised.

    Processes fund trades via CIT or all-in-one bank applications by established deadlines.

    Adheres to National Investment Guidelines, feedback from the REV peer review process, and observes sound risk management practices.

    Begins to proactively make recommendations to support the Investment Advisors.

    Begins to have a role in client meetings. Demonstrates mastery knowledge of the GDWM tool and can run it in client meetings.

    Solves problems in straightforward situations.

    Analyzes possible solutions using technical experience and judgment and precedents.

    Impacts quality of own work and the work of others on the team.

    Works within guidelines and policies.

    Qualifications:


    Knowledge of investment products, services, and terminology, usually obtained through on the job training, are needed to prepare material for client meetings.


    Strong analytical, organizational, and communication skills are needed to meet meeting deadlines and solve client or administrative problems.

    Coursework completion towards obtaining a professional education designation (CFA, CIMA/CPWA,CFP).

    Strong knowledge base of utilizing Microsoft Office applications and Adobe Acrobat.

    Requires expanded conceptual knowledge in own job discipline.

    Understands key business drivers; uses this understanding to accomplish own work.

    Explains complex information to others in straightforward situations.

    1-3+ years of experience within the financial services industry.

    Provides informal guidance to new team members.

    In office


    This is an office-based position and for the effective performance of this role, the duties and responsibilities must be carried out 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

    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.
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