Financial Planning Investment Associate

3 weeks ago

Woodland Hills, United States Northwestern Mutual - The Beer Financial Group Full time

**Financial Planning Investment Associate**

The responsibilities of the Financial Planning Investment Associate are to support Advisors in establishing and servicing investment clients. Specific responsibilities include but will not be limited to:
**Primary Responsibilities to start will be**:

- Process existing Investment account service requests (asset movement, ACH/SRS, address changes, bank account changesetc.).

**Additional Responsibilities**:

- Facilitate the account opening process for new accounts.
- Complete investment account opening and new annuity paperwork.
- Send paperwork to clients for eSignature.
- Submit signed account/annuity paperwork to facilitate account opening.
- Monitor and track status of account opening.
- Regularly inform client of account opening status.
- Follow up on account funding and instruct Advisors on trade orders that need to be placed.
- Process Annuity Policy Delivery Acknowledgements.
- Conduct rollover calls to third party.
- Offer smart flag support when requested by Advisor.
- Facilitate the processing of journals and transfers for existing accounts.
- Create Envestnet/NMCIR/Morningstar Reports
- Run FINRA & Variable Annuity Expense Analyzer
- Conduct regularly scheduled meetings with Advisors to discuss progress on account openings and status on other pending requests.
- File appropriate correspondence and forms.
- Work to process trade corrections with the Investment Operations Manager.
- Respond to Advisor administrative questions.
- Act as liaison for FR investment needs and troubleshoot paperwork that is processed incorrectly.

**Qualifications**

It is recommended that the Financial Planning Associate have the following qualifications:

- Preferred but not required: Series 6 and Series 63 _**or **_Series 7 and Series 63
- One to three years of securities industry experience preferred.
- Demonstrated computer experience required. Minimum 40-50 wpm.
- Strong organizational and time management skills with ability to set priorities and meet deadlines.
- Ability to work with a high degree of accuracy in handling detailed work.
- Excellent communication skills (verbal and written) with the ability to collaborate effectively with others.
- Above average math and data entry skills.
- Ability to multi-task and prioritize.
- Ability to adapt to change and identify process improvements.

Pay: $20.00 - $23.00 per hour

Expected hours: 40 per week

**Benefits**:

- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Life insurance
- Paid time off
- Vision insurance

Schedule:

- 8 hour shift
- Monday to Friday

**Education**:

- Bachelor's (preferred)

**Experience**:

- Administrative: 2 years (preferred)

Ability to Relocate:

- Woodland Hills, CA 91367: Relocate before starting work (required)

Work Location: Hybrid remote in Woodland Hills, CA 91367

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