At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
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
·Resolves a variety of investment operations inquiries and escalations from home office leaders, field staff or other team members. Uses industry knowledge and analytical skills to resolve problems.
·Researches and responds to field issues including but is not limited to representative code changes, representative terminations, implementing succession planning and ensembles.
·Provides ongoing home office supervision/oversight function of investment advisory accounts to ensure supervisory integrity and compliance to ensure core fiduciary responsibilities are being met.
·Promotes client and field retention and identifies opportunities to build existing relationships through timely and accurate operational processing.
·Works with other specialists, consultants and managers to handle the day-to-day monitoring of the area including managing daily processing work.
·Developing ability to direct and coordinate the team's processing activities and identifying changing service demands.
·Assists team members as they work through complex case work or items beyond their knowledge base.
·Prioritizes and organizes responsibilities and uses appropriate resources within and outside of immediate work area. Collaborates with internal customers and cross-functional teams to resolve problems as needed.
·May review work of office staff team members to ensure quality and accuracy. May contribute input into performance evaluation process.
·Participates in and may lead process improvement, product introduction, or system enhancement across the division. Participates in system testing and system maintenance that requires operational expertise.
·Keeps informed of developments in the industry and anticipates information needed by others and is responsible for communicating change.
·Bachelor's degree in Business or related field or equivalent industry experience.
·Broad professional knowledge of the investment industry gained through a minimum of three years in an investment service or operations capacity.
·Demonstrated strong leadership and interpersonal skills
·Demonstrated data analytical skills
·Strong written communication skills
·Demonstrated ability to positively influence and work cooperatively with employees at all levels
·Demonstrated ability to proactively react to change
·Self-motivated and self-directed with the ability to manage multiple assignments with minimal guidance or direction
·Strong technical knowledge of the operational aspects related to brokerage and advisory services/products.
·Demonstrated ability to apply knowledge across complex business areas and manage projects in a cross functional environment.
·Expert understanding of excel and enjoy working with spreadsheets
·Ability to multi-task and handle high volume of case load with the greatest possible degree of accuracy
·Strong business acumen and demonstrated ability to guide others through new business concepts and procedures.
·Depending on the specific job responsibilities assigned, this position could either require a minimum of a FINRA Series 6 or FINRA Series 7.
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
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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.
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Flexible work schedules
Employee resource groups