Director of Investment Operations
Northwestern Mutual is a rapidly growing, integrated financial services firm. We proudly represent the 155-year tradition of Northwestern Mutual, which has recently been recognized as one of the largest and fastest growing Broker/Dealers in the industry. The rapid growth of our firm brings an opportunity to join one of Northwestern Mutual’s premier teams as an Investment Operations Associate.
POSITION RESPONSIBILITIES
Work collaboratively as a team on strategic planning for clients
Communicate with clients to develop advisory plans and provide explanations of investment strategies
Manage client follow up with statements, contributions, DocuSign, etc.
Effectively communicate with the team, prioritizing time-sensitive tasks
Complete, submit, and track account investment paperwork
Process and handle all day-to-day investment operations functions, beginning with the sales process through implementation. This includes handling deposits for new and existing incoming investment funds, processing trades, tracking asset transfers, and handling asset movement requests.
Monitor and proactively manage the new account set-up process, including selecting the correct forms, entering information needed, obtaining signatures, and following up on outstanding requirements.
Respond to client inquiries for investment account information, services, and charges.
Respond to investment related compliance requirements, alerts, and flags.
Manage the investment record keeping practice for the firm.
Participate in regular team meetings and provide investment related details.
Participate and lead projects as assigned.
POSITION QUALIFICATIONS
Bachelor’s degree and/or equivalent work experience
Series 63/7 & SIE preferred or obtained within 6 months
Life, Accident & Health insurance licenses preferred or obtained within 90 days
Ability to adapt to change, and identify process improvements in a fast paced environment
Ability to maintain a high degree of confidentiality
Efficient communicator with both clients and team members
Strong analytical and problem-solving skills with attention to detail, accuracy, and reliability
Strong organizational and time management skills including prioritization and the ability to meet deadlines
Interest in earning additional designations to continue to grow
Completion of annual continuing education to maintain FINRA and company registrations required
Financial Services
Finance
Full-time