Top Advisor Srvcs Spec (NRF)

Milwaukee Succeeds; Franklin (WI); On-site; USD 61,000 - 91,000; Full time

Benefits offered by this job

Flexible work schedules

Concierge service

Comprehensive benefits

Employee resource groups

Job summary

Northwestern Mutual in Wisconsin is seeking an experienced Investment Operations professional to resolve a variety of client inquiries, process trades, manage system access, and ensure fiduciary responsibilities and regulatory compliance across the division.

You will partner with top Wealth Management Advisors to support field operations, supervise advisory accounts, drive process improvements, and coordinate cross‑functional service activities.

Qualifications

• Bachelor's degree in Business or related field or equivalent industry experience.
• Minimum of three years in an investment service or operations capacity.
• Demonstrated leadership and interpersonal skills.
• Analytical skills and confidence to make judgments involving ambiguity.
• Strong interpersonal and written communication skills.
• Ability to positively influence and work cooperatively with employees at all levels.
• Ability to react proactively to change.
• Self-motivated with the ability to manage multiple assignments with minimal guidance.
• Broad knowledge of brokerage and advisory services/products; ability to apply across complex areas and manage cross-functional projects.
• Strong business acumen and ability to learn new concepts and procedures.
• May require FINRA Series 6 or Series 7 depending on responsibilities.

Responsibilities

• Resolve a variety of investment operations inquiries and escalations from home office leaders, field staff or other team members.
• Research and respond to client issues including trades, system access and account maintenance.
• Provide ongoing supervision/oversight of investment advisory accounts to ensure fiduciary responsibilities and compliance.
• Promote client retention and identify opportunities to build relationships through accurate processing and service quality.
• Collaborate with specialists, consultants and managers to monitor service levels and coordinate team activities.
• Assist team members with complex case work or items beyond their knowledge base.
• Prioritize and organize responsibilities; collaborate with internal customers and cross-functional teams.
• Review work of office staff and contribute input into performance evaluations.
• Participate in process improvement, product introduction, or system enhancement across the division.
• Stay informed of industry developments and communicate changes to others.
• Apply deep securities trading knowledge including regulatory framework and trading systems.
• Partner with Wealth Management Advisors to support field investment operations success.
• Establish and maintain deep subject matter expertise across investment operation core areas.
• Some travel to meet Top Advisor teams and attend required field or industry events.

Skills

Adaptive Communication

Attention to Detail

Customer Service Mindset

Field Consulting

Investment Management Systems

Investment Products

Root Cause Analysis & Decision Quality

Education

Bachelor's degree in Business

Tools

Pershing

Envestnet

Job description

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This position has been classified as an Access Person, which will require the reporting of your personal securities transactions. This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms.

FINRA non-registered fingerprinted person

WMC access person

What You'll Do

• Resolves a variety of investment operations inquiries and escalations from home office leaders, field staff or other team members. Uses industry knowledge and analytical skills to resolve problems.
• Researches and responds to client issues including but is not limited to placing trades, assisting clients with system access and navigation, assisting clients with account maintenance and inquiries, discussing the latest market trends responding to research requests and providing investment education to our clients.
• Provides ongoing home office supervision/oversight function of investment advisory accounts to ensure supervisory integrity and compliance to ensure core fiduciary responsibilities are being met.
• Promotes client retention and identifies opportunities to build existing relationships through timely and accurate operational processing and service quality. Establishes and maintains strong relationships with customers and team members while providing quality service and support.
• Works with other specialists, consultants and managers to handle the day‑to‑day monitoring of the area including managing service levels for the call center and daily processing work. Developing ability to direct and coordinate the team's service activities and identifying changing service demands.
• Assists team members as they work through complex case work or items beyond their knowledge base.
• Prioritizes and organizes responsibilities and uses appropriate resources within and outside of immediate work area. Collaborates with internal customers and cross‑functional teams to resolve problems as needed.
• May review work of office staff team members to ensure quality and accuracy. May contribute input into performance evaluation process.
• Participates in and may lead process improvement, product introduction, or system enhancement across the division. Participates in system testing and system maintenance that requires operational expertise.
• Keeps informed of developments in the industry and anticipates information needed by others and is responsible for communicating change.
• Applies deep industry and securities trading knowledge and experience, including products, functions of trading, associated regulatory framework, and trading systems.
• Partners closely with top Wealth Management Advisors & their teams to develop relationships to support field investment operations success.
• Establish & maintain deep subject mattery expertise around all investment operation core areas
• Role may require some travel, including meeting in person with Top Advisor teams, presenting at network office visits and attending other required field or industry events.

What You'll Bring to the Role

• Bachelor's degree in Business or related field or equivalent industry experience.
• Broad professional knowledge of the investment industry gained through a minimum of three years in an investment service or operations capacity.
• Demonstrated leadership and interpersonal skills
• Demonstrated analytical skills and confidence to make judgments and decisions involving ambiguity
• Strong interpersonal and written communication skills
• Demonstrated ability to positively influence and work cooperatively with employees at all levels
• Demonstrated ability to proactively react to change
• Self‑motivated and self‑directed with the ability to manage multiple assignments with minimal guidance or direction
• Strong technical knowledge of the operational aspects related to brokerage and advisory services/products.>>Demonstrated ability to apply knowledge across complex business areas and manage projects in a cross functional environment.
• Strong business acumen and demonstrated ability to learn new business concepts and procedures.
• Depending on the specific job responsibilities assigned, this position could either require a minimum of a FINRA Series 6 or FINRA Series 7.

Skills You Have

• Adaptive Communication: Formulates strategies to convey complex information about services, products, systems, or processes to targeted audiences; liaises between technical and non‑technical audiences.
• Attention to Detail: Focuses on details to spot and correct errors in advance and surpass quality expectations; thorough proofreading for accuracy and quality.
• Customer Service Mindset: Anticipates customer needs and applies understanding of customer perspectives to solve problems and drive outcomes.
• Field Consulting: Makes decisions with conviction and provides direction to clients and consumers in the field to identify issues or resolve challenges.
• Investment Management Systems: Knowledge of platforms such as Pershing and Envestnet for portfolio management, trading, compliance, performance, and reporting.
• Investment Products: Applies knowledge of investment products, concepts, markets, and regulations to inform decisions and advise clients.
• Root Cause Analysis & Decision Quality: Applies problem‑solving methods to find root causes; makes timely, data‑driven decisions.

About the Job

This position has been classified as an Access Person, which will require the reporting of your personal securities transactions. This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms.

FINRA non-registered fingerprinted person

WMC access person

#LI-Remote

Compensation Range:

Pay Range - Start: $60,880.00

Pay Range - End: $91,320.00

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

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, click here to learn more.

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.

Skills

FIND YOUR FUTURE

We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first‑class perks, benefits, and our commitment to a culture of belonging.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups

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