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Financial Planning Operations Sr Specialist – Investment Client On-boarding

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


At Northwestern Mutual, our vision is to deliver financial security to help our clients live their best lives by choice. A key pillar of our vision and success is our strong, vibrant sales force. This role sits within the Career Distribution (CD), which is at the forefront of working across the home office and sales force as one team to achieve the sales and growth objectives the company expects, while delivering the experience our distribution needs and deserves.

This role resides in Shared Business Services as part of the Financial Planning Services (FPS) team. FPS provides integrated financial planning support to advisors and Network Office teams.  The incumbent will play an important role delivering services for investment client on-boarding (ICOB) and experienced producer asset transfer, both of which are in early stages of being developed and scaled.  This provides an exciting opportunity to be part of the development and evolution of a new service offering!

Primary Duties & Responsibilities:

  • Apply in-depth investment background/knowledge to review transfer requests for proper documentation and confirm account eligibility for selected account type.
  • Run investment proposals, generate new account paperwork, enter transfer request and ACH/cash management instructions, monitor status in investment systems and contact contra-firms for transfer status.
  • Serve as primary liaison with advisor and team on overall transfer process, including training on the process, keeping them apprised of progress of transfer of book of business and monitoring status of the transfer.
  • Utilize critical thinking and good judgment to resolve difficult requests, issues, complaints.  Work with HO investment operations and supervision areas to research any account issues.
  • Implement improvements to standard work and/or work processes; train others.
  • Mentor less experienced staff, providing answers to questions, advice, feedback and support.

Knowledge, Skills, & Abilities:

  • Bachelor’s degree in business, finance or related field
  • Minimum of three years of financial services experience with demonstrated knowledge and understanding of NM investment products, markets, technologies & services.
  • At least 1 year of experience with investment operations activities such as new account opening or transfers.
  • FINRA Series 7.
  • Effective written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with individuals in the department and the field to maintain maximum operational efficiency.
  • Strong consultation, organizational and communication skills including ability to establish rapport.
  • Strong analytical skills, problem solving, attention to detail and accuracy.
  • Proven ability to make sound judgments and decisions when faced with ambiguous situations
  • Strong mentoring/coaching skills and the ability to lead development and training of junior team members.



This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 6 - FINRA, Series 7 - FINRA

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 Colorado or outside of a Corporate location, please click here for information pertaining to compensation and benefits.


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.