Investment Operations Associate

Northwestern Mutual; Irvine (CA); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health insurance

401k

Paid Time Off

Job summary

Northwestern Mutual in Irvine, CA is seeking an Investment Operations Associate to provide comprehensive operational support for advisors and the team. You will help build, implement, and champion efficient processes while partnering with the Field Supervisor and Home Office to ensure compliance with firm standards.

Responsibilities include new account paperwork, investments trading, transfers, NetX360 support, 401(k) rollover calls, reporting, and process improvements.

Qualifications

• Series 7, 6 & 63 required.
• 2-3 years of securities industry experience preferred.
• Degree in Finance, Computer Science or Business.
• Previous Northwestern Mutual experience preferred.
• Strong organizational and time management skills.
• Ability to work in a fast-paced environment.
• Excellent oral and written communication skills.

Responsibilities

• Complete new account paperwork for processing.
• Handle investments trading.
• Process account transfers and service requests (fund disbursements, transfers).
• Maintain investment systems functionality (NetX360).
• Conduct 401(k) rollover calls and provide guidance.
• Prepare and review reporting.
• Identify and suggest process improvements to boost productivity.
• Serve as primary contact for all trade corrections.

Skills

Organizational skills

Time management

Communication

Analytical thinking

Problem-solving

Attention to detail

Education

Finance, CS, or Business degree

Tools

NetX360

Job description

Cusimano Financial Group Wealth Management & Insurance Solutions at Northwestern Mutual Orange County, isa wealth management firm that brings investments, insurance planning, and overall financial planning together into one coordinated strategy for our clients.

We are seeking an Investment Operations Associate to provide comprehensive investment operational support for our advisors and team. This individual will help build, implement, and champion efficient operational processes while partnering with the Filed Supervisor and Home Office to ensure processes remain compliant and aligned with firm standards.

Specific responsibilities may include but will not be limited to:

• New account paperwork completion and submission for processing
• Investments trading
• Account transfer procedures: process service requests including funds disbursements, account transfers
• Investment systems functionality (e.g., NetX360)
• Conduct 401(k) rollover calls with clients and provide clear guidance throughout the rollover process
• Reporting
• Identifies and recommends process improvements in the investment operations to enhance productivity and efficiency
• Primary contact for all trade corrections

Qualifications

It is recommended that the Investment Operations Associate have the following qualifications:

• Required:
• Series 7, 6 & 63
• Experience:
• 2 -3 years of securities industry experience preferred; finance or related experience will be considered,

or

• Degree in Finance, Computer Science or Business
• Previous Northwestern Mutual experience
• Strong organizational and time management skills with ability to set priorities and meet deadlines
• Ability to build rapport and exercise resourcefulness and understanding
• Ability to operate efficiently, accurately, and to adapt to changing environment
• Someone who operates well in a fast-paced environment
• Excellent oral and written communication skills with the ability to collaborate effectively with others
• Excellent analytical and problem-solving skills
• High attention to detail

Full Benefits (Health insurance, 401k, Paid Time Off)