At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
What’s the role?
As the Vice President, Investment Client Services, you will provide leadership for the investment operations area to provide a world-class experience for Advisors and Customers when interacting with Northwestern Mutual’s investment products. Investment Client Services (ICS) supports the company’s Investment function with account services, trading services, application support and other investment activities.
Primary Duties & Responsibilities
The ICS team brings the strategy to implementation. This leader is responsible for developing and implementing the strategic and tactical organizational plans for the Investment Operations, Retail Trading Services, Northwestern Mutual Investment Services (NMIS) Advisory Services and ICS Training areas. This leader regularly monitors these areas enforcing compliance procedures and policies and maintaining all compliance books and records consistent with regulatory requirements and policy.
The Investment operations area also develops and delivers all training to the network office investment operations staff in each of the Network Offices. This includes all Investment Operations field correspondence, manuals, reference materials, publications and training material.
Strong relationship building and maintaining is a must. This includes primary relationship responsibilities between NMIS and NMIS' clearing partner. Also has overall responsibility for all back-office and operational issues with clearing firm, while continuously developing the business relationship.
This leader will research recommend and direct implementation of organizational changes and new technology and servicing methods to improve ICS servicing capabilities.
You can expect to also plan, develop, and implement strategy for Investment Operations, Retail Trading Services (OED), NMIS Advisory Services and ICS. Training areas to meet organizational performance plans within agreed to budgets and timelines. This includes determining the appropriate standards and goals for department and employees and the tools in which to measure those standards and goals. This leader fosters a culture of managerial accountability and teamwork.
You will also act as Investment Operation's primary liaison for Enterprise and Departmental organizations, committees, and corporate initiatives (i.e. Chair Clearing Firm Oversight Committee, Secretary Agency/IPS Committee, Chair - NMIS Advisory Operations and Oversight Committee, Member Internet Steering Committee, Member Information Risk Mgt Council). Establish strong partnerships across the enterprise to help ensure each others objectives and performance plans are aligned.
Bachelor's degree in Business or related field.
Requires over 10 years of progressively responsible investment operations or similar work experience.
Demonstrated success in managing a diverse staff group in a rapidly changing, highly regulated business environment.
Series 7, 24, 65, and 99 required (note the S99 exam is only required if the incumbent does not hold any other FINRA registrations).
Comprehensive understanding of customer service environments, field operations, training and support needs, servicing system technology, financial products and overall company operations.
Demonstrated superior written and verbal communication skills with the ability to build rapport, negotiate and gain acceptance at all levels in the home office and field.
Ability to manage multiple, diverse, and large scope projects and assignments.
Proven leadership, people development, strategic thinking, and decision-making skills.
Demonstrated ability to give presentations to field and home office audiences.
Experience working with a field force or in a broker-dealer environment is a strong plus.
Work location: Franklin, WI
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:Series 24 - 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.
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Please note: Any wages or wage ranges listed directly on a specific job requ isition or posting will supersede corresponding wage ranges listed within Pay Transparency Guide linked above.
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
Employee resource groups