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Registered Associate, Brokerage Service Group

Northern Trust · Chicago, IL · $67,500–$111,500 a year · Full time

Posted Aug 21, 2026 · We last checked this listing on Oct 6, 2026

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Likely interview questions for this role

Written from this job description, not a generic list. Each one notes what the interviewer is really checking.

About your past

You'll answer inbound calls to the Brokerage Service Group. Tell me about a time you helped a frustrated caller on the phone.

What they are checking: Patience, listening and the ability to calm a client while solving the problem.

Tell me about a time you made an error processing something. How did you fix it?

What they are checking: Ownership and quick correction of mistakes in client money movement.

Tell me about a time you went above what was required to resolve a customer issue.

What they are checking: Service mindset and ownership that goes past the minimum.

What would you do

A client calls asking to wire a large sum to a new account today. What steps do you take?

What they are checking: Following verification and fraud controls even when the client is in a hurry.

How would you handle a request you've never processed before, like a gift of securities?

What they are checking: Learning the required steps and checking with NTSI operations rather than guessing.

A client asks for investment advice on the phone. How do you respond?

What they are checking: Knowing the limits of a service role and directing advice questions to the right professional.

How would you explain to a client why their transfer will take two more days?

What they are checking: Whether they can give clients bad timing news plainly and honestly instead of promising something operations cannot deliver.

About the work

What do you know about the licenses this role requires, and how are you preparing for them?

What they are checking: Understanding the registration requirements for a registered associate role and commitment to meet them.

How do you keep track of many client requests with different deadlines?

What they are checking: Organization and follow-through in a high-volume service center.

How do you research a client issue when the answer isn't in the system?

What they are checking: Persistence and resourcefulness in working with operations teams to resolve problems.

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The full job description

As published by Northern Trust.

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. Major Duties: 1. Answers inbound calls to the Brokerage Service Group service center. 2. Executes client account servicing activities as requested by client and partners within appropriate time frames, including but not limited to the processing of wires and fund transfers, cash movement, gift processing, preparing required documentation, opening and closing accounts, and researching of client issues. 3. Develops a strong understanding of required steps involved with each request, communicating NTSI operations teams as appropriate to obtain necessary information to properly execute the requested activity. 4. Addresses the requirements of each activity in a timely fashion and in strict adherence with Northern Trust and Wealth Management Risk Management and NTSI Compliance policies and procedures, promptly escalating any issues and/or concerns to management. 5. Develops a strong knowledge of the various business applications critical to client and account servicing, including on-line tools. 6. Where appropriate, strives to identify service efficiency and delivery enhancements, as well as process improvements 7. Assists with new partner onboarding. Knowledge: • Excellent verbal and written communication skills are required. • Security/investment industry knowledge is required. • Analytical and problem solving skills are required. • Technical skills / systems knowledge (e.g. Microsoft Office 365) is required. Experience: • A College or University degree and/or some relevant financial services industry work experience is required. • FINRA Securities Industry Essentials Exam (SIE), Series 7 or 7TO and Series 66 registrations are required or willingness to acquire within a prescribed time. Salary Range: $67,500 - 111,500 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.

Apply at Northern Trust