Associate Financial Representative

Northwestern Mutual; Walnut Creek (CA); On-site; USD 65,000 - 85,000; Full time

Job summary

Northwestern Mutual in Walnut Creek is seeking an associate to support a wealth management practice. From day one you will own a full slate of client service, operations, and marketing activities in a non-registered role, with a defined path to securities registration.

Once registered, you will service brokerage and advisory accounts under supervision and assist with transfers, client onboarding, and reporting, building toward a registered role while maintaining privacy and compliance standards.

Qualifications

• High school diploma or equivalent; bachelor's degree preferred.
• 1+ year(s) in client service, financial services, or administrative support preferred.
• Legally authorized to work in the United States.

Responsibilities

• Serve as a first point of contact for client calls, emails, and requests.
• Schedule and confirm client meetings; manage the advisor's calendar and follow-ups.
• Prepare and assemble client meeting materials, agendas, and folders.
• Maintain accurate records in the CRM; log activity and next steps.
• Process service requests for non-registered business; track outstanding requirements.
• Coordinate client events and marketing outreach; prepare activity and production reports.
• Onboard new clients with welcome sequences, document collection, and setup.
• Prepare account paperwork, applications, and transfer forms for advisor review.
• Maintain books-and-records documentation; retrieve and report account information.
• Support registered activity post-securities registration; service brokerage/advisory accounts under supervision.

Job description

This associate supports a Walnut Creek wealth management practice, handling the client service, operations, and marketing work that allows the advisor to spend his time with clients. The role begins non-registered - you will own a full slate of client service and investment operations responsibilities from day one - and includes a defined path to securities registration. Once registered, the role expands into servicing brokerage and advisory accounts and supporting registered transactions under supervision.

WHAT YOU'LL DO

Client Service & Administration

• Serve as a first point of contact for client calls, emails, and requests
• Schedule and confirm client meetings; manage the advisor's calendar and follow-ups
• Prepare and assemble client meeting materials, agendas, and folders
• Maintain accurate, timely records in the CRM; log activity and next steps
• Process service requests - address changes, beneficiary updates, form submission - for non-registered business
• Track and follow up on outstanding requirements, paperwork, and underwriting items
• Handle confidential client information in accordance with privacy and compliance policy

Practice Operations & Marketing

• Coordinate client events, seminars, and appreciation touchpoints
• Support marketing and outreach: social posts, email campaigns, and referral tracking
• Maintain office systems, supplies, and vendor coordination for the practice
• Prepare activity and production reports for the advisor
• Onboard new clients: welcome sequences, document collection, and setup

Investment Operations Support

• Prepare account paperwork, applications, and transfer forms for advisor review and submission
• Maintain books-and-records documentation and filing for the practice
• Retrieve and report factual account information - balances, holdings, positions, trade status
• Track not-in-good-order items and pending transfers

Registered Activity — upon completion of securities registration

• Service brokerage and advisory accounts under advisor supervision
• Process securities transactions within registration and entitlement limits
• Submit money movement, ACAT, and transfer requests
• Respond to registered-product inquiries beyond factual account lookup

WHAT YOU'LL NEED

• High school diploma or equivalent required; bachelor's degree preferred
• One or more years in client service, financial services, or administrative support preferred
• State Life & Health insurance license required, or obtained within 60 days of hire
• SIE, Series 6 or 7, and Series 63 required within 6 months of hire
• Must pass background check and fingerprinting; meet FINRA and state suitability standards
• Proficiency in Microsoft Office; comfort with CRM and planning software
• Legally authorized to work in the United States

WHO THRIVES HERE

Detail-oriented and organized, with strong written and verbal communication and real discretion around confidential client information. Someone who takes ownership of follow-through, works well without being chased, and wants to grow into a registered role rather than stay static.

This position is employed by the sponsoring financial advisor's practice, not by Northwestern Mutual. Employment is at-will. The associate operates under the direction and supervision of the sponsoring advisor and, for registered activity, the assigned registered principal, and must comply with all Northwestern Mutual privacy, compliance, and supervision policies.