Northwestern Mutual · 2 months ago
Investment and Financial Planning Associate
Phoenix, AZ
Full-time
Onsite
Mid Level
$60K/yr - $65K/yr
4+ years expNorthwestern Mutual is a financial services company that offers investment and financial planning services. The Investment and Financial Planning Associate will support wealth management advisors by managing client accounts, preparing financial proposals, and ensuring compliance with industry regulations.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork
Maintaining financial representative’s calendar, scheduling and attending follow-up appointments
Responding to home office account inquiries
Maintaining annual review notes in Envestnet and mailing annual review letters to clients
Monitoring and stocking marketing materials for Signature advisory programs
Monitoring industry trends and research
Ensuring NMIS and NMWMC compliance requirements are implemented and followed
Gathering information for WMA meetings with client/prospect
Preparing advisory annual review information
Preparing and modifying plans (PXs) and investment/advisory proposals
Preparing letter of instruction for client signature
Preparing investment policy statement, needs-based analysis or financial plan
Recommending fund portfolio options
Preparing and processing all paperwork needed for investment/advisory accounts
Monitoring, processing and following up on asset transfers and on initial and subsequent funding of advisory accounts
Implementing initial and subsequent asset allocation trades
Identifying need for switch letter and mailing appropriate forms to clients
Discussing potential rollover opportunities from other retirement plans for variable and mutual funds
Processing proposal amendments, monitoring alerts and annual reviews in Envestnet
Executing buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
Following up on trade rejects and resolving all trade-related issues
Monitoring holdings for program eligibility and administering advisory accounts
Meeting with advisory clients for fact finding and conducting existing advisory client reviews
Completing risk tolerance (personal profile) questionnaire with client
Making security recommendations and modifying asset allocations for existing advisory client accounts
Participating in client meetings for financial or investment plan development or presentation
Corresponding with clients to handle advisory related service issues
Contacting clients on behalf of the WMA for developing advisory plan and providing technical explanations of investment plan
Explaining advisory products or advisory performance to existing clients
Providing services and administering advisory products
Accepting redemptions/withdrawals from clients and communicating instructions to home office
Discussing tax consequences, costs and advisory fees
Maintaining daily tickler system for account follow-ups and service requirements
Performing cashiering functions
Running performance reports in Envestnet, Morningstar and NMCIR
Qualification
Required
General Securities Registered (Series 7)
4+ years in securities industry with experience in advisory required
Trading experience, ability to process personal securities transactions
High degree of technical skills including experience with Microsoft applications, data entry and information retrieval software
Excellent oral and written communication skills
Strong critical thinking, financial analysis and problem-solving skills required
Ability to manage multiple diverse projects and assignments in a timely and quality manner
Strong attention to detail with the ability to work with a high degree of accuracy
Demonstrated ability to maintain effective working relationships with clients
Ability to look beyond the obvious and not stop at the first answers
Willingness to learn
Ability to embrace change and work in a fast-paced environment
Able to work both independently and in a team
Ability to maintain confidentiality
Ability to work in the office (not hybrid) Monday – Friday, with the exception of holidays, PTO, etc
Ability to commute to Phoenix, AZ 85016
Ability to relocate to Phoenix, AZ 85016 before starting work
Preferred
Preferred to hold a valid Life, Health and Accident License - or ability to complete this within 30 days of accepting the opportunity if offered
The following insurance designations are preferred: CLU, ChFC, CLTC or CFP
Financial services: 2 years
Benefits
Dental insurance
Financial planning services
Health insurance
Paid time off
Retirement plan
Vision insurance
Company
Northwestern Mutual
Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, and investments.
5001-10000 employees
H1B Sponsorship
Northwestern Mutual has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2020 (1)
Funding
Current Stage
Late StageLeadership Team
Timothy Gerend
Chairman, President and CEO
Phil Odella
COO/CFO
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