Investment Services Associate

At Northwestern Mutual, we strive to provide exceptional financial services to our clients by offering comprehensive investment advice and personalized financial planning. We are looking for a dedicated and detail-oriented Investment Services Specialist to join our team and support our advisors in delivering top-tier investment and financial planning services.

The Investment Services Specialist will play a critical role in supporting our advisors by managing a variety of investment-related tasks, fee-based planning services, and variable annuity related processes. This position requires a high level of organization, attention to detail, and the ability to work collaboratively with advisors and clients.

• Advisory/Brokerage Program Proposals: Prepare and provide Morningstar reports of current allocations and proposed holdings. Comment on differences and provide insights as requested by advisors.
• New Account Client Onboarding: Facilitate the onboarding process for new clients.
• New Account Funding: Manage account funding processes including ACATs, VA transfers, and surrenders.
• Ongoing ENV2 Monitoring: Monitor Investment Policy Exceptions (IPEs) and manage excess cash.
• Signature Choice: Handle trading, portfolio construction, and all ENV2 processing and services. Perform tax-loss harvesting and security selection, subject to capacity limitations.
• Signature Portfolio: Prepare proposals and service accounts, including cash raise requests, distributions, and strategy modifications.
• Brokerage Accounts: Monitor ongoing accounts using NetX
  360 and manage “Items For Attention.”
• Full Case Consultation: Conduct analysis of current contra-firm accounts and proposal analysis.
• Advisory Accounts: Prepare annual review presentation materials (NMCIR, Morningstar, etc.).

• Initiate Fee-Based Plan Contracts: Initiate contracts, send registration invitations, and prepare initial invoices.

• Application Management: Prepare and send fully completed applications to clients via e-signature or PDFs. Submit and monitor completed/signed applications.
• Expense Analysis: Utilize and prepare Variable Annuity Expense Analyzer for case consultations and client presentations.

• Minimum of 5+ years of experience in financial services, investment management, or a related field.
• Experience with Morningstar, NetX
  360, ENV2, and other financial tools and platforms.
• Series 7 & 63 (preferred).
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal abilities.
• High attention to detail and organizational skills.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
• Bachelor’s degree in Finance, Business Administration, or a related field (preferred).