Investment Client Srvcs Analyst, Trade OPS
2 weeks ago
Primary Duties & Responsibilities
- Client Service Excellence : Deliver a personalized and remarkable experience for our clients by answering their questions, providing servicing options, and helping them with their products or services.
- Trade Execution & Analysis : Handle trade requests, ensuring accuracy and efficiency in the trading process across various financial instruments, including equities, mutual funds, ETFs, and fixed income securities. This also may include a focus on trade corrections.
- Trading Support : Provide expert support in the execution of trades, working closely within the team, across teams, and with strategic vendors to resolve issues, which may include trade error or margin/debit situations.
- Investment Expertise : Utilize deep knowledge of mutual funds, ETFs, equities, and fixed income products to assist in trade execution and portfolio management, ensuring alignment with client objectives
- Trade Monitoring & Reconciliation : Monitor trade throughout the day, ensuring timely and accurate processing.
- Problem Solving : Expertly handle a range of inquiries, from basic to complex, by researching and evaluating solutions, including handling escalations.
- Client Retention : Promote client retention and identify opportunities for the field to strengthen existing relationships.
- Contact Ownership : Take ownership of contacts from the field and other internal teams/departments, anticipate future issues, and minimize unnecessary hands-offs.
- De-escalation : Effectively manage and de-escalate challenging situations while guiding them through complex inquiries.
- Trusted Advocacy : Serve as a trusted advocate for Financial Representatives, collaborating with them to meet client needs.
- Technology Integration : Embrace new technology and promote self-service capabilities while understanding the risks and impacts of transactions. Leverage trading platforms and tools to streamline processes, improve accuracy, and enhance service delivery.
- Compliance & Regulatory Adherence : Ensure all trades comply with industry regulations and internal policies, maintaining high standards of confidentiality and data security.
Qualifications
- Education : Associate's degree in finance, business, or a related field, or equivalent combination of education and experience.
- Experience : Minimum of 4 years of customer service experience, with at least 2 years in trade analysis or a related role within the financial services industry, focusing on trading, investments, and market operations.
- Knowledge : In-depth understanding of investment or income products, including mutual funds, ETFs, equities, fixed income and associated market dynamics.
- Skills : Advanced analytical and problem-solving skills, excellent verbal and written communication, attention to detail and proficiency with trading platforms and financial software. Ability to multi-task and handle a high volume of work with accuracy.
- Organization : Strong organizational skills with the ability to prioritize tasks in a fast-paced environment.
- Continuous Learning : A strong desire to stay updated with industry trends, market conditions, and regulatory changes.
#LI - Hybrid
This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.
Required Certifications:
Non-Registered Fingerprinted - FINRA
Compensation Range:
Pay Range - Start:
$22.21
Pay Range - End:
$33.31
Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.
Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now
We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.
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 commitment to diversity and inclusion.
- Flexible work schedules
- Concierge service
- Comprehensive benefits
- Employee resource groups
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