Investment Operations Specialist

Queen City Wealth is a powerhouse wealth management firm founded in Denver, Colorado. Women owned and led; we’re trailblazing an inclusive path of holistic financial planning for all.

“West and for a world where money is a tool—not a barrier—and where financial literacy and enduring wealth are universally accessible, enabling safer lives, fuller choices, and lasting generational impact.”

We are seeking an Investment Operations Specialist who shares our commitment to exceptional service and attention to detail. The Investment Operations Specialist plays a pivotal role within our firm, ensuring every client interaction is seamless and personalized. Your expertise will enhance our clients’ experience and drive the success of our boutique operations.

• Client Service:
  Promptly respond to client inquiries and service requests for investment products via email and phone.
• Application Processing:
  Compile and prepare new applications for investment products including sending for e-signature, submitting for compliance review, keying account features, and submitting transfer requests while tracking to completion.
• Account Monitoring:
  Track client cash flows, RMDs, and regularly scheduled investment transactions.
• Transaction Processing:
  Execute money movements, trade mutual funds & ETFs, perform tax loss harvesting, manage account transfers, facilitate rollover calls.
• Client Engagement:
  Proactively reach out to clients for necessary items, maintaining strong, personalized relationships through regular communication and follow-up.
• Data Management:
  Keep precise client records and documentation, ensuring our systems reflect the personalized service we provide.
• Collaborative Excellence:
  Partner with planning team and leadership to deliver cohesive, boutique client service experience.
• Administrative:
  Other duties as assigned.

• 1-2 years minimum experience in client service or administrative roles within the financial services industry
• Colorado Life and Health Insurance License
• FINRA Securities Investment Essentials (SIE), Series 6, and Series 63

• In-depth knowledge of Northwestern Mutual risk and investment product offerings
• Knowledge of Northwestern Mutual enterprise systems (CRM Dynamics, NetX
  360, ENV2)
• FINRA Series 7
• Detailed knowledge of retail investment products including IRAs, Roth IRAs, Individual/Joint investment accounts, 529 accounts, etc.

• $60,000 - $70,000 base salary with bonus potential
• Medical insurance including health, dental, and vision
• Group short-term and long-term disability insurance
• 401(k) plan with employer match
• Flexible Time Off program, including your birthday off every year 🎉
• Support for personal education and development - including licensing, registration, and designations.

* For candidates outside of Colorado, you must be able to work from a Northwestern Mutual office 2-3 days a week located in your area.

* We are not offering any relocation assistance for placing this role.

* Any candidates must be able to pass background check and become a registered and fingerprinted individual of Northwestern Mutual and Northwestern Mutual Investment Services.

* Any candidates must possess authorization to work for any employer in the United States. We are not offering to sponsor an employment Visa at this time.

We are an equal opportunity/affirmative action employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries in Milwaukee, WI. Investment brokerage services are offered through Northwestern Mutual Investment Services, LLC, (NMIS), a subsidiary of NM, broker-dealer, registered investment advisor, and member FINRA and SIPC. Investment advisory and trust services are offered through Northwestern Mutual Wealth Management Company® (NMWMC), Milwaukee, WI, a subsidiary of NM and a federal savings bank.

Members of Queen City Wealth use Queen City Wealth as a marketing name for doing business as representatives of Northwestern Mutual. Queen City Wealth is not a registered investment adviser, broker-dealer, insurance agency, or federal savings bank. To view detailed disclosures regarding individual representatives, view their information at