Investment Client Srvcs Specialist - Advisory Trading - Hybrid

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

Summary

This position works to support our field and clients with the trading and management of their investment accounts. Team members partner closely with Northwestern Mutual’s financial representatives and their staff in the field, and team, department, and company colleagues to deliver exceptional investment operational support associated with trading services.

This position has been classified as an Access Person, which will require the reporting of your personal securities transactions. This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms.

• FINRA non-registered fingerprinted person
• WMC access person
  
  

Primary Duties & Responsibilities

• Trading Support:
• Support trading, management, and servicing functions associated with program advisory accounts.
• Handle trade requests, ensuring accuracy and efficiency in the trading process across various financial instruments, including equities, mutual funds, ETFs, and fixed income securities. This also may include a focus on trade corrections.
• Provide expert support in the execution of trades, working closely within the team, across teams, and with strategic vendors to resolve issues, which may include trade error or margin/debit situations.
• Investment Operations Support:
• Resolve a variety of investment operations inquiries and escalations from home office leaders, field staff, or other team members.
• Utilize industry knowledge and analytical skills to solve problems effectively.
• Embrace new technology and promote self-service capabilities while understanding the risks and impacts of transactions. Leverage trading platforms and tools to streamline processes, improve accuracy, and enhance service delivery.
• Be an advocate for positive change and maintain a continuous improvement mindset.
• Field/Client Issue Resolution:
• Research and respond to field/client issues, including but not limited to:
• Placing trades.
• Aiding in account maintenance and inquiries.
• Responding to research requests.
• Assisting field/clients with navigation.
• Discussing the latest market trends.
• Supervision and Compliance:
• Provide ongoing home office supervision and oversight of investment advisory accounts to ensure supervisory integrity and compliance.
• Ensure that core fiduciary responsibilities are met.
• Client Retention and Relationship Building:
• Promote client retention by identifying opportunities to strengthen existing relationships through timely and accurate operational processing and service quality.
• Establish and maintain strong relationships with field/clients and team members while delivering quality service and support.
• Team Collaboration and Service Monitoring:
• Work with other specialists, consultants, and managers to handle day-to-day monitoring of the area, including managing daily processing work.
• Develop the ability to direct and coordinate the team's service activities and identify changing service demands.
• Team Support:
• Assist team members as they navigate complex casework or items beyond their knowledge base.
• Prioritize and organize responsibilities, utilizing appropriate resources within and outside of the immediate work area.
• Collaborate with internal customers and cross-functional teams to resolve problems as needed.
• Identify improvement opportunities and take ownership to develop, refine, and implement those improvements.
• Quality Assurance and Performance Input:
• May review the work of office staff team members to ensure quality and accuracy.
• May contribute input into the performance evaluation process.
  

Qualifications

• Education : Bachelor’s degree in finance, business, or a related field, or equivalent combination of education and experience.
• Experience : Minimum of 4 years of customer service experience, with at least 2 years in trade analysis or a related role within the financial services industry, focusing on trading, investments, and market operations.
• Knowledge : In-depth understanding of investment or income products, including mutual funds, ETFs, equities, fixed income and associated market dynamics.
  
  

Skills You Have

• Attention to Detail (NM) - Intermediate: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
• Customer Service Mindset (NM) - Intermediate: Anticipates customer needs and applies understanding of customer needs or perspectives to solve problems and drive outcomes as the basis for decision making. Leverages knowledge of trends affecting customer to help them make informed decisions.
• Analytical Thinking (NM) - Intermediate: Organizes and compares various aspects of a situation to comprehend and identify key or underlying complex issues through the use of quantitative data and analysis; leverages strong business acumen, solving, and interpersonal skills to think critically about situations from multiple perspectives and consistently seeks ways to improve processes.
• Change Adaptability (NM) - Intermediate: Becomes adaptable in response to continual changes; shows an openness to new ways of working, new methods, work-in-progress improvements and changes and seamlessly navigates the changing business environment and adjusts behavior as appropriate to the situation.
• Root Cause Analysis & Decision Quality (NM) - Intermediate: Assists and applies problem-solving methods to understand the fundamental reasons for faults and problems; makes timely, data-driven decisions by understanding the probability of success, identifying customer risks, gathering business requirements, and developing value statements.
• Industry Knowledge (NM) - Intermediate: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends, and the competitive landscape within a particular industry/sector to better understand and address unique client requirements, challenges, and context.
  
  

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.

Required Certifications

Non-Registered Fingerprinted - FINRA

Compensation Range

Pay Range - Start:

$48,580.00

Pay Range - End

$90,220.00

Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now!

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.

FIND YOUR FUTURE

We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups