Northwestern Mutual

Top Advisor Srvcs Spec (NRF)

Northwestern Mutual • $66K — $100K *
Franklin, WI 53132In-Person
Finance & Insurance
Less than 5 years of experience
Yesterday
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • Bachelor's degree in Business or related field, or equivalent industry experience.
  • Minimum of three years in an investment service or operations capacity.
  • Strong analytical skills with the ability to navigate ambiguity.
  • Excellent leadership and interpersonal skills.
  • Proven ability to communicate effectively, both verbally and in writing.
  • Demonstrated capability to influence and collaborate with diverse levels of employees.
  • Proactive in adapting to change and managing multiple projects with little guidance.
  • Strong technical understanding of brokerage and advisory operations.
  • FINRA Series 6 or 7 may be required depending on responsibilities.

Responsibilities

  • Resolve investment operations inquiries from various stakeholders using industry knowledge.
  • Assist clients with trades, system navigation, and account maintenance.
  • Ensure compliance and supervisory integrity of investment advisory accounts.
  • Enhance client retention through high-quality service and operational processing.
  • Coordinate with specialists to manage service levels and daily operations.
  • Support team members with complex case work or inquiries.
  • Prioritize tasks and collaborate with cross-functional teams to resolve issues.
  • Participate in process improvements, system testing, and enhancements across the division.

Benefits

  • Opportunity for professional growth and development through leadership roles.
  • Engagement in strategic process improvements and system enhancements.
  • Collaboration with top Wealth Management Advisors to build networks and improve client success.
  • Potential for travel to meet with advisors and present educational sessions.
Full Job Description
Summary

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 client issues including but is not limited to placing trades, assisting clients with system access and navigation, assisting clients with account maintenance and inquiries, discussing the latest market trends responding to research requests and providing investment education to our clients.
  • 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 retention and identifies opportunities to build existing relationships through timely and accurate operational processing and service quality. Establishes and maintains strong relationships with customers and team members while providing quality service and support.
  • Works with other specialists, consultants and managers to handle the day-to-day monitoring of the area including managing service levels for the call center and daily processing work. Developing ability to direct and coordinate the team's service 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.
  • Applies deep industry and securities trading knowledge and experience, including products, functions of trading, associated regulatory framework, and trading systems.
  • Partners closely with top Wealth Management Advisors & their teams to develop relationships to support field investment operations success.
  • Establish & maintain deep subject mattery expertise around all investment operation core areas
  • Role may require some travel, including meeting in person with Top Advisor teams, presenting at network office visits and attending other required field or industry events.


Qualifications
  • 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 leadership and interpersonal skills
  • Demonstrated analytical skills and confidence to make judgments and decisions involving ambiguity
  • Strong interpersonal and 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.
  • Strong business acumen and demonstrated ability to learn 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.Non-Registered Fingerprinted - FINRA

Compensation Range:

Pay Range - Start:
$0.00

Pay Range - End:
$0.00

Geographic Specific Pay Structure:

Structure 110:
$66,960.00 USD - $100,440.00 USD

Structure 115:

$70,000.00 USD - $105,000.00 USD

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

About Northwestern Mutual

Northwestern Mutual has been helping people and businesses achieve financial security for more than 160 years. Through a holistic planning approach, Northwestern Mutual combines the expertise of its financial professionals with a personalized digital experience and industry-leading products to help its clients plan for what's most important. Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, annuities, and brokerage and advisory services. The company manages billion of dollars of investments owned by its clients and held or managed through its wealth management and investment services businesses. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM), Milwaukee, WI (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries. Subsidiaries include Northwestern Mutual Investment Services, LLC (NMIS) (securities), broker-dealer, registered investment adviser, member FINRA and SIPC; the Northwestern Mutual Wealth Management Company® (NMWMC) (fiduciary and fee-based financial planning services), federal savings bank; and Northwestern Long Term Care Insurance Company (NLTC) (long-term care insurance).

Northwestern Mutual Careers

Joining Northwestern Mutual presents a unique opportunity to be part of a team that is dedicated to empowering personal and professional growth, innovation, and leadership in the financial services industry. As a company renowned for its commitment to excellence and a culture that values diversity and inclusion, Northwestern Mutual offers unparalleled job opportunities for both seasoned professionals and those at the start of their careers.

Work You’ll Do

At Northwestern Mutual, we believe in building strong relationships not only with our clients but also among our team members. By joining our team, you will collaborate with some of the most talented professionals in the industry, all united in their commitment to leadership and innovation. Our employees are equipped with top-tier benefits and diversity training that ensure their career journey is both rewarding and inclusive.

Explore Professional Growth and Development

Northwestern Mutual is committed to fostering an environment where career growth is not just a possibility but a priority. With a variety of positions available, from financial representatives to internships for budding professionals, our company is a place where your skills and passion can thrive. We provide extensive training programs and leadership development opportunities that prepare you for success in your current role and beyond.

Innovative Work Environment

Our team at Northwestern Mutual is at the forefront of integrating cutting-edge technology and innovative financial strategies to provide exceptional service to our clients. This focus on innovation is not just about staying current; it's about leading the way in the financial sector. Employees at all levels are encouraged to contribute ideas and take initiative, driving the company forward as a leader in the financial industry.

Be Part of Our Diverse and Inclusive Team

Diversity and inclusion are more than just buzzwords at Northwestern Mutual; they are integral to our company culture and business strategy. We are committed to creating a workplace where all employees can flourish. Our diversity training programs are designed to enhance understanding and foster an inclusive environment for all team members.

Networking and Career Advancement

Networking within Northwestern Mutual opens doors to expansive career advancement opportunities. We encourage our employees to engage in internal networking events, which often lead to mentorship and further career development. Whether you are looking to enhance your resume, prepare for an interview, or step into a leadership role, Northwestern Mutual provides the resources and support to help you achieve your professional goals.

Join Our Team

Search open positions that match your skills and interests. We are looking for passionate, curious, and solution-driven team players who are ready to take their career to the next level. Explore the job opportunities and internships available at Northwestern Mutual and find out how you can contribute to our legacy of innovation and leadership.

Stay Connected

Keep up to date with career tips, insider perspectives, and industry-leading insights you can put to use today—all from the people who work here. Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities that await at Northwestern Mutual.

SEARCH NORTHWESTERN MUTUAL JOBS

Join us and start your journey at Northwestern Mutual today, where your career is nurtured, your skills are honed, and your achievements are celebrated.
Learn more about Northwestern Mutual
Size
7,000 employees
Industry
Finance & Insurance
* Ladders Estimates

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