Financial Advisor Assistant

Northwestern Mutual; Santa Barbara (CA); On-site; USD 50,000 - 60,000; Full time

Benefits offered by this job

Medical insurance

401(k)

Employee assistance program

Paid time off

Disability insurance

Vision insurance

Job summary

A leading financial services company is seeking a Financial Advisor Assistant in Santa Barbara, CA. This entry-level role focuses on providing client service, organizing office tasks, and assisting financial advisors in maintaining efficient operations. Candidates should have strong communication and organizational skills, with a preference for those having a degree. Extensive training will be provided, and there are opportunities for professional growth.

Qualifications

• Experience in administrative support or customer service, preferably in financial services.
• Excellent oral and written communication skills.
• Strong attention to detail.

Responsibilities

• Maintain client case files and assist in preparation of Client Financial Plans.
• Handle correspondence, schedule appointments, and manage the advisor's calendar.
• Process incoming requests and maintain current client information.

Skills

Communication

Organizational skills

Time management

Attention to detail

Education

Bachelor’s Degree

Tools

Microsoft applications

Job description

3 days ago Be among the first 25 applicants

This range is provided by Northwestern Mutual. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$50,000.00/yr - $60,000.00/yr

Additional compensation types

Annual Bonus

Direct message the job poster from Northwestern Mutual

Job Type: Full-time

Pay: $50,000.00 - $60,000.00/yr Starting

Overall Function:

The Financial Advisor Assistant at Northwestern Mutual specializes in client service to ensure the maintenance of an efficient, organized office that allows the financial advisor to focus their energy on building client relationships. Assist in preparation of Client Financial Plans using NML proprietary software. The assistant is a liaison between the home office, financial advisors, network office support team, and clients. Specific responsibilities may include but are not limited to:

Admin Support:

• Handle case notes, process correspondence and maintain client case files.
• Electronically file new statements, account forms and other insurance/investment-related materials.
• Maintain financial advisor’s calendar and schedule follow-up appointment.
• Answer telephone calls and direct them as appropriate.
• Input data, print proposals and gather information at direction of financial advisor in preparation for client/prospect meeting.
• Contact clients to set up follow-up meetings with advisor.
• Contact clients to confirm receipt of forms or request return of completed forms.
• Maintain current client information for all product lines.
• Monitor Daily Status Report (DSR) and expedite any additional underwriting requirements.
• Communicate with home office, NMIS and fund families as needed to supply or obtain information.
• Prepare/print letters of instruction for client signature.
• Schedule birthday/age change appointments for advisor.
• Generate lead letters and implement marketing programs.

Client Service Support | Non-Securities Products:

(Non-securities refers to Northwestern Mutual and other outside portfolio, fixed or non-variable insurance products)

• Review insurance applications, conversions and policy changes for completeness and accuracy and return to advisor for any missing information.
• Arrange medical, paramedical and any exams necessary for underwriting.
• Provide current status and account values for non-securities related accounts.
• Contact clients regarding late payments.
• Process incoming non-securities related insurance service requests from clients (process address changes, bank change information, loan requests and other service inquiries).
• Prepare account summaries for variable and securities owners.

Client Service Support | Variable Insurance/Annuity and Investments:

• Gather information for financial advisor’s meetings with clients/prospects.
• Enter investment data into planning software (non-asset allocation components only) and distribute investment related forms to existing clients.
• Review insurance/investment applications and documents for completeness and accuracy and return to advisor if missing information.
• Arrange medical, paramedical and any exams necessary for underwriting.
• Monitor Items for Attention (IFA) and bring any action items to the advisor’s attention.
• Complete order tickets and new account forms based on information obtained by advisor.
• At advisor’s direction, initiate fund/investment transfers, exchanges and redemption requests.
• Receive and forward checks and related paperwork to the network office and home office investment operation areas.
• Work with network office, NMIS and fund families to resolve client account issues.
• Provide account values and performance to clients at the direction of advisor.

Qualifications:

• Experience in administrative support or customer service, preferably in the financial services and/or insurance industry but not required.
• Bachelor’s Degree preferred but not required.
• Securities, Health and Life licensed or gain licensing within 6 months of employment.
• Experience in administrative support or customer service, preferably in the financial services and/or insurance industry.
• Excellent oral and written communication skills.
• Familiarity with Microsoft applications and data entry and information retrieval software.
• Demonstrated organizational and time management skills, set priorities, and meet deadlines.
• Strong attention to detail with the ability to work with a high degree of accuracy.
• Ability to proactively identify what needs to be accomplished and take action as appropriate.
• Has interest in learning and growing on a continuous basis.
• Ability to embrace change and work in a fast-paced environment.
• Ability to work both independently and in a team.
• Ability to maintain confidentiality.
• Bonus/Incentives/Additional employee benefits opportunities.
• Paid time off.
• Employee assistance program

Job Type: Full-time

Pay: $50,000.00 - $60,000.00/yr Starting

Schedule:

• Monday to Friday

Seniority level

• Seniority level

  Entry level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Administrative, Customer Service, and Management

Referrals increase your chances of interviewing at Northwestern Mutual by 2x

Inferred from the description for this job

Medical insurance

401(k)

Disability insurance

Vision insurance

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