Trading Srvcs Sr Spec (S7/63) - Hybrid

Northwestern Mutual

26d • Hybrid

About The Position

The Trading Services Senior Specialist provides day‑to‑day trade execution support and investment guidance to clients and Registered Financial Representatives. Operating within Northwestern Mutual, Northwestern Mutual Investment Services (NMIS), and the Wealth Management Company (WMC), this role executes and supports equity, fixed income, and options transactions, ensures regulatory compliance, and delivers a high‑quality service experience on the trading desk.

Requirements

• Bachelor’s degree in business or a business‑related field.
• Broad professional knowledge of the investment/retail brokerage industry and a variety of securities products, gained through 3–5 years in a retail brokerage sales capacity.
• Active FINRA Series 7 and Series 63 required.
• Excellent written and oral communication skills.
• Demonstrated ability to pay close attention to detail.
• Thorough knowledge of FINRA and federal/state laws and regulations related to securities processing.
• This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Responsibilities

• Client Advice & Portfolio Guidance Determine customer financial needs, risk tolerance, suitability, and understanding of the securities markets; combine this with fact‑finders conducted by Financial Representatives, including portfolio analysis. Based on market knowledge and customer objectives, counsel and educate clients on appropriate investments; recommend investments based on information gathered. Establish credibility and build relationships to continuously assess client needs and make recommendations. Keep informed of developments in the securities markets, using fundamental and/or technical research to arrive at sound and timely investment decisions on behalf of Northwestern Mutual clients.
• Trading & Operations Execute equity, fixed income (debt), and options transactions on behalf of Financial Representatives; ensure accurate processing and compliance with securities industry laws and regulations. Review, process, and provide guidance to Financial Representatives on securities‑backed lines of credit (SBLOC), margin and options feature additions, worthless security removals, and corporate actions.
• Compliance Operate within all ethical and regulatory requirements of FINRA, the SEC, and the MSRB; adhere to SIPC membership requirements. Maintain compliance with all NMIS policies, procedures, and standards.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees