Investment Client Onboarding Senior Specialist

Northwestern Mutual•Milwaukee, WI

9d•$70,320 - $121,320•Hybrid

About The Position

This role sits within the Career Distribution (CD), which is at the forefront of working across the home office and sales force as one team to achieve the sales and growth objectives the company expects, while delivering the experience our distribution needs and deserves. This role resides in Field Shared Services as part of the Wealth Operations team. Wealth Ops provides investment operational support to advisors and Network Office teams. The incumbent will play an important role delivering services for the investment client on-boarding (ICOB) program which is one of several ways the Wealth Ops team supports the field. As the ICOB service is in growth mode this provides an exciting opportunity to be part of the development and growth of this service offering!

Requirements

Bachelor’s degree in business, finance or related field
Minimum of three years of financial services experience with demonstrated knowledge and understanding of NM investment products, markets, technologies & services.
At least 1 year of experience with investment operations activities such as new account opening or transfers.
FINRA Series 7.
Effective written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with individuals in the department and the field to maintain maximum operational efficiency.
Strong consultation, organizational and communication skills including ability to establish rapport.
Strong analytical skills, problem solving, attention to detail and accuracy.
Proven ability to make sound judgments and decisions when faced with ambiguous situations
Strong mentoring/coaching skills and the ability to lead development and training of junior team members
Consulting - Connects with stakeholders to understand and gain specific information to help resolve customer problems in a given domain. Communicates effectively intent to customers, solicits customer requirements, utilizes domain knowledge and collaborates with the right stakeholders.
Cross Functional Partnering & Planning - Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.
Customer Centricity - Applies a customer first mindset to design and continuously improve solutions, systems, processes, and services that support enterprise strategy, impact critical business outcomes, and drive organizational success.
Financial Acumen - Applies the knowledge of financial statements, financial analysis, budgeting, forecasting, and financial modeling to ensure decisions are fiscally sound and responsible.
Learning Agility & Critical Thinking - Pursues learning and obtains knowledge continuously in relevant fields, methods, or technologies in current and future practices; continuously utilizes critical thinking to identify opportunities, execute solutions, and measure impact to constantly improve existing practices and processes based on feedback, lessons learned, and market trends.

Nice To Haves

SIE - FINRA

Responsibilities

Create investment proposals, generate new account paperwork, enter transfer requests and ACH/cash management instructions with high degree of accuracy.
Track status of accounts in investment systems and contact contra-firms for transfer status.
Apply critical thinking and good judgment to resolve requests or issues related to account transfers; determine when to elevate those requiring more advanced knowledge.
Recommend and implement improvements to standard work and/or 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 in process work.
Use basic investment knowledge to provide flexibility on standard work.
With guidance, understand and apply special instructions that are outside of standards.