Top Advisor Srvcs Spec (NRF)

Northwestern Mutual Group; Franklin (WI); On-site; USD 61,000 - 91,000; Full time

Job summary

Northwestern Mutual Investment Services, LLC is seeking an experienced operations professional to partner with top Wealth Advisors, manage advisory and brokerage inquiries, and coordinate across Investment Client Services to resolve complex cases.

You will own cases from inquiry to resolution, stay current on products and regulations, and contribute to process improvements while working with compliance, product, and technology teams.

Qualifications

• Bachelor’s degree in business, finance, or a related field.
• At least three years of experience in investment services, investment operations, brokerage, advisory services, trading support, account maintenance, or a related field.
• Working knowledge of brokerage and advisory products, accounts, and operational processes.
• Experience researching and resolving complex operational issues or escalations.
• Strong organizational, communication, and problem-solving abilities.
• Demonstrated accountability and commitment to following work through resolution.
• Self-motivated and able to manage multiple priorities with limited direction.
• Able to work independently while collaborating effectively with teammates and business partners.
• Flexible and comfortable adjusting to changing workloads, processes, and business needs.
• Eager to learn new products, systems, procedures, and investment operations concepts.
• Depending on assigned responsibilities, a FINRA Series 6 or Series 7 license may be required.

Responsibilities

• Build trusted relationships with top Wealth Advisors and their teams while supporting their investment operations needs.
• Research and resolve complex advisory, brokerage, trading, account-maintenance, system-access, and asset-movement inquiries.
• Take ownership of cases from initial inquiry through resolution, providing timely and accurate updates.
• Organize and prioritize multiple assignments while maintaining accuracy and meeting service expectations.
• Adapt as advisor needs, workloads, processes, and priorities change.
• Collaborate with Investment Client Services teams, supervision, compliance, product, and technology partners to resolve issues.
• Assist teammates with complex cases and share knowledge that strengthens the team’s advisory and operational capabilities.
• Identify recurring issues and contribute to process improvements, product introductions, system enhancements, and testing.
• Stay current on investment products, operational procedures, regulatory requirements, and industry developments.
• Participate in advisor meetings, network-office visits, presentations, and other field or industry events as needed.

Skills

Change Adaptability

Attention to Detail

Accountability

Operational Functions

Teamwork

Analytical Thinking

Financial Services Industry Acumen

Education

Bachelor’s degree in business, finance, or related field

Job description

The Top Advisor Services team provides high-touch investment operations support to Northwestern Mutual’s top Wealth Advisors and their teams. In this role, you will serve as a trusted operational partner, build strong advisor relationships, and help resolve complex service needs involving advisory and brokerage accounts, trading, account maintenance, system navigation, and other investment operations processes.

You will take ownership of inquiries through resolution, coordinate with teams across Investment Client Services, and provide timely, accurate guidance that helps advisor teams serve their clients effectively. Advisory operations are a significant part of the role, representing approximately 40% of the team’s work.

Success requires sound operational judgment, strong organization, attention to detail, and accountability. You should be comfortable managing multiple assignments, working independently, collaborating across teams, and adapting as advisor needs, service demands, and business priorities change.

This position is classified as an Access Person and requires the reporting of personal securities transactions. It is also classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms.

Primary Duties and Responsibilities

• Build trusted relationships with top Wealth Advisors and their teams while supporting their investment operations needs.

• Research and resolve complex advisory, brokerage, trading, account-maintenance, system-access, and asset-movement inquiries.

• Take ownership of cases from initial inquiry through resolution, providing timely and accurate updates.

• Organize and prioritize multiple assignments while maintaining accuracy and meeting service expectations.

• Adapt as advisor needs, workloads, processes, and priorities change.

• Collaborate with Investment Client Services teams, supervision, compliance, product, and technology partners to resolve issues.

• Assist teammates with complex cases and share knowledge that strengthens the team’s advisory and operational capabilities.

• Identify recurring issues and contribute to process improvements, product introductions, system enhancements, and testing.

• Stay current on investment products, operational procedures, regulatory requirements, and industry developments.

• Participate in advisor meetings, network-office visits, presentations, and other field or industry events as needed.

Qualifications

• Bachelor’s degree in business, finance, or a related field, or equivalent industry experience.

• At least three years of experience in investment services, investment operations, brokerage, advisory services, trading support, account maintenance, or a related field.

• Working knowledge of brokerage and advisory products, accounts, and operational processes.

• Experience researching and resolving complex operational issues or escalations.

• Strong organizational, communication, and problem-solving abilities.

• Demonstrated accountability and commitment to following work through resolution.

• Self-motivated and able to manage multiple priorities with limited direction.

• Able to work independently while collaborating effectively with teammates and business partners.

• Flexible and comfortable adjusting to changing workloads, processes, and business needs.

• Eager to learn new products, systems, procedures, and investment operations concepts.

• Depending on assigned responsibilities, a FINRA Series 6 or Series 7 license may be required.

Skills You Have

• Change Adaptability: Adjusts effectively as priorities, service demands, processes, and responsibilities change.

• Attention to Detail: Maintains accuracy and quality across advisory, account-maintenance, transaction, and operational work.

• Accountability: Takes ownership of assignments, communicates issues promptly, and follows work through resolution.

• Operational Functions: Organizes, prioritizes, and coordinates multiple activities while meeting service expectations and deadlines.

• Teamwork: Works independently while collaborating effectively with teammates, leaders, advisor teams, and business partners.

• Analytical Thinking: Evaluates information, identifies underlying issues, and applies sound judgment to resolve complex operational needs.

• Financial Services Industry Acumen: Applies knowledge of financial services, investment operations, brokerage and advisory products, regulations, and industry developments.

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:

$60,880.00

Pay Range - End:

$91,320.00

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,

Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.