Investment Client Srvcs Analyst (S7/63) - Remote

Northwestern Mutual•Franklin, WI

1d•$23 - $35•Remote

About The Position

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions. The analyst reviews, inputs, and verifies trade activity, transfers, and account maintenance while adhering to regulatory requirements, privacy standards, and internal procedures. Success in this role requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities—helping strengthen relationships and support client retention.

Requirements

FINRA Series 7/63 Licenses
Associates degree in business or related field or equivalent combination of education and experience
Minimum of 4 years related customer service experience with proven customer service skills
Expert knowledge of investment products or markets
An intermediate understanding of tax implications related to investments
Advanced written and verbal communication skills
Ability to multi-task and handle high volume of calls/case load with the greatest possible degree of accuracy
Strong organization skills with the ability to prioritize tasks
A strong desire to continuously learn and improve
Strong problem-solving skills and ability to provide options
Demonstrated computer experience with solid keyboarding skills and proficiency with current software packages
Exercise ability to de-escalate situations effectively while guiding clients through complex and unique concerns.
Take ownerships of calls and anticipate future issues to drive resolutions.
Research and evaluate possible solutions to complex problems by identifying root cause and deviation from procedures.
Foster a professional relationship with our clients to enhance brand loyalty.
Attention to Detail - Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
Customer Service Mindset - Anticipates customer needs and applies understanding of customer needs or perspectives to solve problems and drive outcomes as the basis for decision making. Leverages knowledge of trends affecting customer to help them make informed decisions.
Investment Products NM - Applies the knowledge of various investment products, investment concepts, financial markets, and regulations related to investment products to make informed investment decisions and provide advice to clients. Understands customer needs and market trends and works with various internal teams such as research, legal, compliance, and marketing. Analyzes product performance, identifies areas for improvement, and implements strategies to enhance the product offering.
Root Cause Analysis - Assists and applies problem solving methods to understand the fundamental reasons of faults and problems; makes timely, data-driven decisions by understanding the probability of success, identifying customer risks, gathering business requirements, and developing value statements.
Change Adaptability - Becomes adaptable in response to continual changes; shows an openness to new ways of working, new methods, work-in-progress improvements and changes and seamlessly navigates the changing business environment and adjusts behavior as appropriate to the situation.
Field Relations - Builds and maintains relationships with agents or brokers who work directly with customers to sell insurance products, and negotiates outcomes with field/clients. Understands the needs and concerns of these intermediaries, provides support and guidance on underwriting policies and procedures, and collaborates with them to ensure that customers receive the best possible service and coverage.
Financial Services Industry Acumen - Applies knowledge of both general and organization-specific financial theories and is up-to-date on the latest market movements. Demonstrates problem-solving skills that ensures business's financial stability, follows generally accepted accounting principles, regulations, and business ethics.
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Responsibilities

Client and Financial Advisor Support Provide counsel, guidance, and direction to clients and registered financial representatives on the purchase and sales of securities.
At times, executes mutual fund order transactions on behalf of financial representatives and clients.
Provide timely and accurate investment performance information, leveraging account statements and reporting tools, is response to client investment-related queries.
Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
Handle phone and transactional responsibilities while adhering to strict confidentiality and privacy standards
Serve as a trusted advocate for our financial representatives and partner with them to meet the needs of our clients.
Regularly support the NMIS business model and promote client retention by identifying opportunities for the field to enhance existing client relationships.
Deliver a personalized and remarkable experience for our clients by answering their questions, providing servicing options, and helping them with their products or services in a call center environment.
Organizational Agility Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.
Embrace new technology and serve as an advocate for website and self-service capabilities by educating clients and field.
Understand risks and impacts that the transaction has on the client or policy.
Contribute to process improvement initiatives, streamlined operations, and the delivery top-tier client service.
Lead others through change by supporting adaptation to changing environments and new situations.
Coach, mentor or train others as needed.