Senior/Financial Advisor
Posted Sep 9, 2026 · We last checked this listing on Oct 6, 2026
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
Walk me through your first meeting with a new client. How do you find out their goals, objectives and real appetite for risk?
What they are checking: Whether they listen and probe well enough to understand a client before recommending anything.
Tell me about a time a client wanted to make a move you thought was a mistake. What did you do?
What they are checking: Whether they can push back respectfully, document the advice, and still respect that the client makes the final call.
How have you grown a book of business through referrals and existing relationships?
What they are checking: Whether they can grow assets steadily through trust and service, which matters in a relationship-led firm.
What would you do
How do you work with a client's private banker, trust officer and portfolio manager so the client sees one plan, not four?
What they are checking: Whether they collaborate inside a full wealth management team, which the posting describes as part of the process.
Markets drop fifteen percent in a month and several clients call you worried. How do you handle those calls?
What they are checking: Whether they stay calm, refer back to each client's plan, and avoid reactive advice that hurts long-term results.
About the work
A client with concentrated company stock wants to sell gradually. How would you explain a 10b5-1 plan to them?
What they are checking: Whether they understand insider trading rules and can explain a technical tool simply to an executive client.
When would you recommend a structured note to a client, and what risks would you make sure they understand?
What they are checking: Whether they know the product's issuer credit, liquidity and payoff risks well enough to recommend it responsibly.
How do you decide between a fee-based account and a commission-based approach for a client?
What they are checking: Whether they put the client's best interest first and can explain cost trade-offs honestly.
Describe an options strategy you have used for a client, such as covered calls or collars. Why did it fit them?
What they are checking: Whether they truly understand option strategies and use them for client goals rather than for activity.
How do you keep up with suitability and Reg BI requirements in your day-to-day recommendations?
What they are checking: Whether compliance is built into their routine rather than handled only when an issue comes up.
Practice this interview out loud.
Offer builds a real interview for this exact role at Northern Trust from your resume and this job description, asks the questions one at a time, and tells you what landed. The first one is free.
Practice this out loudThe full job description
As published by Northern Trust.