Note: The job is a remote job and is open to candidates in USA. Northwestern Mutual is seeking a Top Advisor Services Specialist to support investment operations and wealth management teams. The role resolves investment operations and client inquiries, oversees advisory account supervision and compliance, supports service quality and process improvements, and provides subject matter expertise across investment operations.
Responsibilities
- Resolves a variety of investment operations inquiries and escalations from home office leaders, field staff or other team members. Uses industry knowledge and analytical skills to resolve problems
- Researches and responds to client issues including but is not limited to placing trades, assisting clients with system access and navigation, assisting clients with account maintenance and inquiries, discussing the latest market trends responding to research requests and providing investment education to our clients
- Provides ongoing home office supervision/oversight function of investment advisory accounts to ensure supervisory integrity and compliance to ensure core fiduciary responsibilities are being met
- Promotes client retention and identifies opportunities to build existing relationships through timely and accurate operational processing and service quality. Establishes and maintains strong relationships with customers and team members while providing quality service and support
- Works with other specialists, consultants and managers to handle the day-to-day monitoring of the area including managing service levels for the call center and daily processing work. Developing ability to direct and coordinate the team's service activities and identifying changing service demands
- Assists team members as they work through complex case work or items beyond their knowledge base
- Prioritizes and organizes responsibilities and uses appropriate resources within and outside of immediate work area. Collaborates with internal customers and cross-functional teams to resolve problems as needed
- May review work of office staff team members to ensure quality and accuracy. May contribute input into performance evaluation process
- Participates in and may lead process improvement, product introduction, or system enhancement across the division. Participates in system testing and system maintenance that requires operational expertise
- Keeps informed of developments in the industry and anticipates information needed by others and is responsible for communicating change
- Applies deep industry and securities trading knowledge and experience, including products, functions of trading, associated regulatory framework, and trading systems
- Partners closely with top Wealth Management Advisors & their teams to develop relationships to support field investment operations success
- Establish & maintain deep subject mattery expertise around all investment operation core areas
- Role may require some travel, including meeting in person with Top Advisor teams, presenting at network office visits and attending other required field or industry events
Skills
- Bachelor's degree in Business or related field or equivalent industry experience
- Broad professional knowledge of the investment industry gained through a minimum of three years in an investment service or operations capacity
- Demonstrated leadership and interpersonal skills
- Demonstrated analytical skills and confidence to make judgments and decisions involving ambiguity
- Strong interpersonal and written communication skills
- Demonstrated ability to positively influence and work cooperatively with employees at all levels
- Demonstrated ability to proactively react to change
- Self-motivated and self-directed with the ability to manage multiple assignments with minimal guidance or direction
- Strong technical knowledge of the operational aspects related to brokerage and advisory services/products.>>Demonstrated ability to apply knowledge across complex business areas and manage projects in a cross functional environment
- Strong business acumen and demonstrated ability to learn new business concepts and procedures
- Depending on the specific job responsibilities assigned, this position could either require a minimum of a FINRA Series 6 or FINRA Series 7
- Adaptive Communication: Formulates strategies to convey complex information about services, products, systems, or processes to targeted audiences; liaises between technical and non-technical audiences
- Attention to Detail: Focuses on details to spot and correct errors in advance and surpass quality expectations; thorough proofreading for accuracy and quality
- Customer Service Mindset: Anticipates customer needs and applies understanding of customer perspectives to solve problems and drive outcomes
- Field Consulting: Makes decisions with conviction and provides direction to clients and consumers in the field to identify issues or resolve challenges
- Investment Management Systems: Knowledge of platforms such as Pershing and Envestnet for portfolio management, trading, compliance, performance, and reporting
- Investment Products: Applies knowledge of investment products, concepts, markets, and regulations to inform decisions and advise clients
- Root Cause Analysis & Decision Quality: Applies problem-solving methods to find root causes; makes timely, data-driven decisions
- Role may require some travel, including meeting in person with Top Advisor teams, presenting at network office visits and attending other required field or industry events
Company Overview
Company H1B Sponsorship