Senior Investment Operations Specialist

2 weeks ago

Minneapolis, Minnesota, United States Northwestern Mutual Full time
Investment Operations Associate Role

The Investment Operations Associate role at Northwestern Mutual is a key position in our investment process, specializing in client service and processing of variable products and other securities.

This role is crucial in maintaining a compliant investment process and ensuring timely completion of investment-related tasks. Responsibilities include:

  • Obtaining necessary information and instructions from financial advisors for financial planning software input.
  • Maintaining compliance for assigned client cases, including managing DocuSign and client signature processes.
  • Preparing and processing paperwork for investment and advisory accounts.
  • Discussing rollover opportunities from other retirement plans for variable and mutual funds.
  • Receiving and forwarding checks and related paperwork to the investment operations area.
  • Processing and monitoring funding of advisory accounts and asset transfers.
  • Executing trades of brokerage and advisory accounts.
  • Processing asset movement transactions on behalf of clients.
  • Supporting the planning team in investment allocation and investment strategies.
  • Accepting redemptions and withdrawals from clients and communicating instructions to the home office.

Requirements for this role include:

  • 2-3 years of experience in the investments industry, with a preference for licensed professionals.
  • Health and Life licensed or ability to obtain within 30 days of employment.
  • SIE and Series 6 and 63 licensed, or ability to obtain within 6 months of employment.
  • Excellent oral and written communication skills, with the ability to practice active listening and communicate in a professional manner.
  • Strong attention to detail, with the ability to work with a high degree of accuracy.
  • Ability to proactively manage multiple projects and assignments in a timely and quality manner.
  • Ability to collaborate and work between areas of expertise on the team.
  • Ability to maintain confidentiality.
  • Strong desire to learn and grow within the role and team.

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