What are the responsibilities and job description for the Investment Operations Assistant position at Northwestern Mutual Greater Milwaukee?
Company Description
Northwestern Mutual Greater Milwaukee helps families and businesses across Greater Milwaukee reach their financial goals. Our version of financial planning brings the right insurance and investment strategies together so our clients can do the things that matter most with the people who matter most.
GENERAL RESPONSIBILITIES
The responsibilities of the Network Office Investment Operations Assistant are to assist the NMIS
operations manage / Chief Supervision Officer in onboarding and supporting representatives that are selling
investments. Provide office, data entry and service administrative support for the office operations by
following acceptable procedures.
Specific responsibilities may include but will not be limited to :
Train and develop representatives, their teams and office staff on the operational processes related
to investment operations, includes correct way to fill out forms, ensure cross training on key
functions, and provide backup support as needed.
Identifies and recommends process improvements in the investment operations and administrative
functions to enhance productivity and profitability for the office.
Primary contact for all trade correction and commission adjustment resolution inquiries.
Train Registered Representatives and appropriate field staff in investment operations fundamentals
Office and Data Administration / Service Support
Open and distribute mail. Prepare outgoing NMIS pouch mail or overnight mail.
File and log appropriate correspondence and forms.
Maintain daily bank deposits, check and order logs for Agency Supervisory review / approval.
Act as Liaison for FR NMIS needs, client service access, mutual fund access, and troubleshoot
paperwork that is lost or processed incorrectly.
QUALIFICATIONS
It is recommended that the Network Office Investment Operations Assistant have the following
qualifications :
- Preferred : Series 6 and Series 63 or Series 7 and Series 63, Series 26, Series 9 / 10 (or ability to obtain within
1st year of employment)
others