Investment Client Onboarding Senior Specialist (Hybrid)

Northwestern Mutual • Milwaukee, WI

2d • $70,320 - $105,480 • Hybrid

About The Position

This role is part of Career Distribution’s Field Shared Services organization, within the Wealth Operations team. Wealth Operations provides investment operational support to advisors and Network Office teams. The Senior Specialist supports the growing Investment Client Onboarding (ICOB) program, which helps deliver services to the field.

The role handles investment account onboarding and transfer activities, including preparing proposals and account paperwork, submitting transfer and cash-management instructions, monitoring account status, and coordinating updates with advisors, staff, and contra-firms. The incumbent applies investment knowledge and judgment to resolve issues, improve processes, support quality, and mentor less experienced team members. This position is classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Requirements

• Bachelor’s degree in business, finance, or a related field.
• At least three years of financial services experience, with demonstrated knowledge and understanding of Northwestern Mutual investment products, markets, technologies, and services.
• At least one year of experience with investment operations activities such as new account opening or transfers.
• FINRA Series 7; the posting also lists SIE - FINRA.
• Effective written and verbal communication skills, including the ability to positively influence, work cooperatively, and negotiate with department and field contacts to maintain operational efficiency.
• Strong consultation, organizational, and communication skills, including the ability to establish rapport.
• Strong analytical and problem-solving skills, attention to detail, and accuracy.
• Ability to make sound judgments and decisions in ambiguous situations.
• Strong mentoring and coaching skills, with the ability to lead development and training of junior team members.

Responsibilities

• Create investment proposals and generate new account paperwork.
• Enter transfer requests and ACH/cash-management instructions accurately.
• Track account status in investment systems and contact contra-firms for transfer status.
• Use critical thinking and judgment to resolve account-transfer requests or issues, escalating those requiring more advanced knowledge.
• Recommend and implement improvements to standard work and work processes.
• Mentor less experienced staff in technologies and standard work.
• Perform final quality checks for peers and more junior staff.
• Manage weekly calls with advisors and staff to provide account status updates or background information on work in progress.
• Apply basic investment knowledge to adapt standard work and, with guidance, understand and apply special instructions outside of standards.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior