Brokerage Services Registered Analyst - Series 7/63 - Remote

northwesternmutual; Franklin (WI); Remote; USD 32,000 - 48,000; Full time

Job summary

Northwestern Mutual in Wisconsin is seeking an Investment Client Services Analyst (Series 7/63) to support clients and registered representatives with investment account questions, performance inquiries, and securities transactions.

You will de-escalate complex situations, own issues through resolution, and collaborate with NM Wealth partners to drive product improvements while staying current on industry trends and regulatory requirements.

Qualifications

• FINRA Series 6/7 and 63-equivalent licenses (65 or 66) required.
• Associates degree in business or related field.
• Minimum of 3 years financial services experience with strong customer service, written and verbal communication skills.
• Understanding of tax implications related to investments and regulatory requirements.

Responsibilities

• Provide consultative service to clients and advisors on a variety of investment concepts.
• Act as a point of expertise on mutual fund trading, brokerage account servicing, cost basis, and tax reporting.
• Apply industry knowledge to solve complex problems and build critical thinking skills.
• Collaborate with department leads and NM Wealth partners to drive product enhancements.
• Learn new concepts and help others navigate changes in the industry.
• Serve as primary contact for NM Investment home office assigned clients regarding investment accounts and products.
• Analyze, input, and review investment transactions, including trades, transfers, and account maintenance, ensuring accuracy and compliance.
• Stay updated on industry trends, investment products, and regulatory requirements to support clients and stakeholders.

Skills

Customer Support

Root Cause Analysis

Analytical Thinking

Data Security

Client Advocacy

Investment Products

Compliance

Education

Associates degree in business or related field

Job description

Job Description

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions.

Success in this role requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities-helping strengthen relationships and support client retention.

Primary Duties & Responsibilities:

• Provide consultative service to clients and advisors on a variety of investment concepts
• Act as a point of expertise on multiple areas: mutual fund trading, brokerage account servicing, cost basis, and tax reporting
• Participate in opportunities to apply industry knowledge while gaining exposure to complex problems and building upon critical thinking skills
• Collaborate regularly with department leads and NM Wealth business partners to drive product enhancements
• Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry
• Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
• Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
• Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.

Qualifications

• FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
• Associates degree in business or related field or equivalent combination of education and experience
• Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills
• An intermediate understanding of tax implications related to investments
• A strong desire to continuously learn and improve
• Strong problem-solving and scenario-evaluation skills with an ability to provide solution

Skills You Have

• Customer Support (NM): Captures customer information for inquiry and analysis in an organized, clear, and consistent manner; uses customer intelligence to solve problems, support informed decisions, communicate with customers and the field, and resolve complaints efficiently.
• Root Cause Analysis & Decision Quality (NM): Applies problem-solving methods to identify the fundamental causes of issues and makes timely, data-driven decisions by evaluating success factors, customer risks, business requirements, and value.
• Analytical Thinking (NM): Organizes and compares information to identify complex underlying issues through quantitative data and analysis; considers multiple perspectives and consistently seeks process improvements.
• Data Security (NM): Protects customer privacy and confidentiality, maintains appropriate access to private data, and follows applicable legal and regulatory requirements for data management.
• Client Advocacy (NM): Translates customer issues and pain points into requirements, represents clients' best interests, and communicates client feedback to product teams and relevant stakeholders.
• Investment Products (NM): Applies knowledge of investment products, financial markets, investment concepts, and related regulations while considering customer needs, market trends, and cross-functional partnerships.
• Compliance (NM): Applies organizational standards, policies, processes, and procedures to ensure regulatory requirements are met and compliance is maintained.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start: $23.11 Pay Range - End: $34.66

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.

Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds.