Investment Client Srvcs Spec (NRF) - Account Reassignment Team

Northwestern Mutual•Franklin, WI

4d•Onsite

About The Position

Join ICS’s Account Reassignment team and help deliver a smooth, high‑stakes transition experience for our field partners and their clients when representatives change (e.g., succession plans, ensembles, code moves, and terminations). You’ll own complex case work, consult with the field, and provide home‑office oversight that protects clients and meets fiduciary expectations—while contributing data‑driven insights that make the process better over time.

Requirements

Bachelor’s in Business or related field or equivalent industry experience.
3+ years in investment services/operations with a track record of resolving complex inquiries.
Strong judgment in ambiguous situations; analytical, detail‑oriented, and comfortable making decisions.
Excellent interpersonal and written communication; able to influence without authority and collaborate across levels.
Self‑directed, organized, and effective at managing multiple assignments.
Solid operational knowledge of brokerage/advisory products and procedures.
Excel proficiency; comfort with data analysis and pattern recognition.
Facilitation/presentation skills to explain complex operational changes simply.
This is a non‑licensed, NRF role. No FINRA registrations are required. (You will complete NMIS fingerprinting and be classified as an Access Person for personal securities transaction reporting.)
Attention to Detail: Focuses on specific details to identify and correct errors before they impact quality. Produces work that reflects thorough review, accuracy, strong presentation, and overall quality.
Financial Services Industry Acumen: Applies knowledge of general and organization-specific financial services concepts, market practices, regulations, and business ethics. Uses industry knowledge to support sound problem-solving and operational stability.
Root Cause Analysis & Decision Quality: Uses problem-solving methods to understand the underlying causes of issues. Makes timely, data-driven decisions by evaluating risks, gathering business requirements, and identifying practical solutions.
Technical Problem Solving: Conducts in-depth analysis of technology needs, issues, and roadblocks within assigned scope. Applies best practices, explores possible solutions, gains alignment on the path forward, and clearly documents what is being solved.
Customer Service Mindset: Anticipates customer needs and applies a strong understanding of customer perspectives to solve problems and drive outcomes. Uses knowledge of customer trends and business impacts to help stakeholders make informed decisions.
This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.
Non-Registered Fingerprinted - FINRA

Responsibilities

Own case work end‑to‑end for rep reassignment: intake, research, documentation, operational updates, and final quality checks across brokerage and advisory accounts.
Consult the field on access/navigation, reassignment rules, and account maintenance; de‑escalate sensitive scenarios with clarity and empathy.
Safeguard supervisory integrity by applying oversight standards on impacted advisory accounts and ensuring policies and controls are followed.
Resolve and prevent issues by investigating root causes, reconciling discrepancies, and maintaining an auditable trail.
Analyze data and trends (Excel) to monitor volumes, turnaround times, error patterns, and downstream impacts; recommend fixes and backlog items.
Collaborate cross‑functionally with ICS peers and enterprise partners (e.g., CL&R, Advisor Solutions, Risk Client Services) to remove friction and improve consistency.
Support service performance for case queues and phone coverage as needed, adjusting priorities to meet demand.
Contribute to change by participating in UAT and process improvements; communicate changes clearly to stakeholders.