At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
Are you passionate about finance and providing exceptional client service? Are you a highly analytical and detail-oriented individual with a passion for the investment industry? Northwestern Mutual, a leading financial services company, is seeking a dedicated and knowledgeable candidate to join our Investment Client Services department as a Registered Investment Client Services Analyst.
Role Summary
This registered (7/63) role will support the Brokerage Services team which specializes in supporting Northwestern Mutual financial advisors with mutual fund trading, tax statements, and cost basis operational support and consultation as well as holistically providing consultation and superior customer service to Northwestern Mutual Investment Services clients acting in an advisor capacity for a subset of our brokerage account clientele. As a Registered Investment Client Services Analyst, you will play a pivotal role in supporting our clients investment needs providing excellent customer service support. Collaborating closely with our financial advisors, other investment professionals within our department, and internal business partners you will ensure superior service delivery while maintaining a deep understanding and expertise of our investment products, strategies, policies, and NMIS investment operations. Your strong analytical skills, attention to detail, and commitment to providing outstanding client experiences will be essential to thrive in this role.
Your job will consist of taking inbound phone calls from financial advisors ,their staff, and clients as well as reviewing and processing operational transactions.
Primary Duties & Responsibilities
Client and Financial Advisor Support
- Provide advice, 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.
- Determines customer financial needs, risk tolerance, suitability and understanding of the securities markets. Combines this information with fact-finders taken by Financial Representatives including portfolio analysis.
- Provide timely and accurate investment performance information, account statements, and investment-related queries to clients.
- 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. Handles phone and transactional responsibilities while adhering to strict confidentiality and privacy standards
- Serves as a trusted advocate for our Financial Representatives and partners with them to meet the needs of our clients.
- Regularly promotes client retention and identifies opportunities for the field to build existing relationship, knows when to refer back to the field for follow- up
- Delivers 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.
- Ability to de-escalate client experience situations effectively while guiding clients through complex and unique inquiries.
- Takes ownerships of calls and anticipates future issues to avoid repeat calls and unnecessary call transfers
- Researches and evaluates possible solutions to complex problems that requires identifying root cause and deviation from procedures and handles escalation resolution.
- Fosters a professional relationship with our clients to enhance brand loyalty
Organizational Agility
- Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.
- Embraces new technology and serves as an advocate for website and self-service capabilities by educating clients and field. Understands risks and impacts that the transaction has on the client or policy.
- Contribute to process improvement initiatives, streamlining operations, and delivering top-tier client service.
- Lead others through change (help others adapt to changing environments and accept new situations)
- Coach, mentor or train others as needed
Qualifications
- 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 expert understanding of tax implications
- 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
#LI-Remote
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications
Compensation Range
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Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate the scope, complexity as well as the cost of labor in the market and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click
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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click
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We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.