Investment Operations Associate

Believer. Husband. Father. Financial Advisor.

More Than Money - A Life Well Planned

River Tree Wealth Investment Operations Associate

The Investment Operations Associate acts on behalf of the wealth management team to prepare materials, open investment accounts, and maintain/service those accounts. Specific responsibilities may include but are not limited to:

• Maintain Tasks & Opportunities system for account openings, client follow-ups, and service requirements
• Process investment related correspondence
• Respond to Northwestern Mutual’s home office account inquiries
• Ensure NMIS and NMWMC compliance requirements are implemented and followed
• Gather information for advisors’ meetings with clients and prospects
• Prepare advisory annual review information
• Prepare and modify investment/advisory proposals
• Prepare letters of instruction for client signature
• Monitor daily account activity for quality control

• Prepare and process all paperwork needed for investment account openings
• Communicate with clients regarding account documentation requirements
• Process, monitor, and follow up on funding of accounts and all asset movement
• Implement initial and subsequent asset allocation trades
• Discuss potential rollover opportunities with clients and guide them through rollover calls
• Execute buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
• Follow up on trade rejects and resolving all trade-related issues
• Monitor holdings for program eligibility and administering advisory accounts

• Correspond with clients to handle investment related service issues
• Explain investment products and performance to existing clients
• Accept trading instruction from clients and execute trades
• Run asset allocation modification proposals and perform rebalances
• Discuss tax consequences, asset allocation, and fees with clients

• Life and Health licensure, or gaining within 90 days of hire
• Investment licensure (SIE, Series 7, and Series 63), required or within six months of hire
• Experience trading and processing personal securities transactions
• Northwestern Mutual Associate Financial Representative contract (upon hire or licensure)
• Completion of Northwestern Mutual’s Signature Advisory Training program (upon hire or licensure)
• Cultural fit: personality and professionalism align with firm values
• Demonstrated ability to maintain effective relationships with clients
• Ability to manage multiple projects and diverse assignments in a timely and quality manner
• Strong attention to detail with the ability to work with a high degree of accuracy and follow through
• Excellent oral, written, and interpersonal communication skills
• Ability to embrace change and work in a fast-paced environment
• Able to work both independently and in a team
• Ability to maintain a high degree of confidentiality

Responsibilities are not necessarily limited to those listed.

We are an Ohio-based, leading financial planning firm providing ideas, investments, and insurance personally tailored to affluent families, business owners, and decision makers nationwide. Our team delivers the extensive resources of the Northwestern Mutual Wealth Management Company within the context of a boutique firm. We guide planning with grounded experience, competitive expertise, and credentialed designations earned at the most respected academic institutions in the financial industry.

Northwestern Mutual has been helping people and businesses achieve financial security for more than 165 years. Through a holistic planning approach, Northwestern Mutual combines the expertise of its financial professionals with a personalized digital experience and industry-leading products to help its clients plan for what’s most important. With more than $560 billion in combined company and client assets, $34 billion in revenues, and $2.1 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to nearly five million people with life, disability income and long‑term care insurance, annuities, and brokerage and advisory services.

Northwestern…