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Provide advice, counsel, guidance and direction to clients and Registered Financial Representatives on the purchase and sales of securities. Keep informed of developments in the securities markets. Provides equity, debt and options order transactions on behalf of the Financial Representatives.
Provide advice, counsel, guidance and direction to clients and Registered Financial Representatives on the purchase and sale of securities
Determines customer financial needs, risk tolerance, suitability and understanding of the securities markets. Combines this information with fact-finders taken by Financial Representatives including portfolio analysis.
Based on a combination of market knowledge (personal investment market trends) and customer knowledge, counsels and educates customers and Financial Representatives on appropriate investments. Recommends investments based on the information gathered.
Establishes credibility and develops relationships with customers to continuously assess their financial needs and make recommendations.
Keeps informed of developments in the securities market using fundamental and/or technical research to arrive at sound and timely investment decisions on behalf of Northwestern Mutual clients.
Perform equity, debt and option transactions on behalf of the Financial Representatives to include accurate processing and maintaining compliance with securities industry laws and regulations.
Operate within all ethical and regulatory requirements of the NASD, SEC, MSRB and SIPC regulations.
Maintain compliance with all NMIS policies, procedures and standards.
Bachelor's degree in business or business-related fields.
Broad professional knowledge of the investment/retail brokerage industry and a variety of securities products gained through a minimum of 3 to 5 years in a retail brokerage sales capacity.
Thorough knowledge of NASD and federal/state laws and regulations related to securities processing.
Excellent written and oral communication skills.
Demonstrated ability to pay close attention to detail.
NASD series 7 and 63 securities licenses.
Additional desirable skills:
To help support the rapid growth of NM's illiquid alternative investments program, a thorough understanding of private equity, private credit, hedge funds, real estate, opportunity zone funds and interval funds.
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:Series 63 - FINRA, Series 7 - FINRA, SIE - 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.
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.
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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
Employee resource groups