Sales Practice Principal

Sales Practice Principal

locations Chicago, IL St. Petersburg, FL Tampa, FL Tempe, AZ

time type Full time

posted on

Posted Yesterday

job requisition id R158834

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:

Under general supervision, supervises the day-to-day front office, client facing activities of registered representatives within retail brokerage. Manages support partners within an assigned region. Knowledge of applicable laws and regulations, usually acquired through formal education or experience, to review trade activity, sales practice, compliance policies and procedures in order to ensure the adequacy and monitor compliance. Leadership skills to assess partner’s competencies, develop skills and provide guidance. Good analytical and communication skills to analyze and summarize a variety of information. Organizational skills to coordinate sales practice and compliance activities.

This is a first-line Sales Supervision role within Northern Trust Securities, Inc. (NTSI)'s retail broker-dealer. The individual will be responsible for overseeing daily branch supervisory activities across an assigned region while directly managing and developing the Registered Associates supporting that region.

This highly visible and demanding leadership role requires extensive industry knowledge, strong regulatory and supervisory expertise, and the ability to effectively coach and develop partners. The successful candidate must be an exceptional communicator who can independently assess complex situations, exercise sound judgment, take decisive action, and proactively identify and mitigate risk while ensuring adherence to Northern Trust's policies, regulatory requirements, and client service standards.

This role will either work out of our Chicago location located at 50 S. LaSalle), or at our locations in St. Petersburg or Tampa FL or Tempe, AZ.

Major Duties:

• Monitors and reviews procedures and practices of partners to ensure compliance with applicable regulatory requirement, industry sales practices and adherence to internal policies.

• Review of trade activity, correspondence