Northwestern Mutual · 6 days ago
Investment Client Svcs Manager - Top Advisor Team - Hybrid
Franklin, WI
Full-time
Hybrid
Mid, Senior Level
$84K/yr - $157K/yr
7+ years expNorthwestern Mutual is a leading financial services firm dedicated to supporting its clients. The Investment Client Services Manager will lead the Top Advisor Team, focusing on strategic leadership, operational excellence, and enhancing advisor success through effective service delivery and risk management.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Lead and develop a team of professionals, including staffing, mentoring, performance management, and succession planning
Foster a culture of accountability, collaboration, and continuous improvement
Define team purpose, clarify roles, set milestones, and establish success measures
Drive innovation and scalability while ensuring compliance with regulatory and program guidelines
Translate regulatory and program changes into actionable steps to minimize risk and operational disruption
Ensure high-quality, cost-effective service delivery by managing operating plans, budgets, and service-level goals
Oversee complex escalations related to staff, cases, processes, and systems from both home office and field operations
Conduct timely quality reviews and audits to maintain compliance and mitigate risk
Partner closely with financial advisors and staff to resolve complex cases and enhance operational success
Collaborate with internal teams (product, compliance, supervision, engineering) and external vendors to drive improvements
Represent the division in projects and initiatives, serving as SME or project lead from concept through completion
Apply deep knowledge of securities trading, investment products, and regulatory frameworks
Recommend product and system enhancements to improve advisor productivity and client experience
Identify and implement process or technology improvements to reduce costs and increase efficiency
Serve as a key liaison to top advisors and their teams, including in-person visits, conferences, and industry events
Lead change management initiatives across the organization, ensuring smooth adoption and minimal disruption
Support dedicated trading platforms and vendor relationships
Assist with planning and execution of home office and field events
Stay current on industry trends and proactively communicate implications to stakeholders
Qualification
Required
Bachelor's degree in business, investment operations, or equivalent experience
Minimum 7 years of investment experience, including 2+ years in operational management leadership
Strong technical knowledge of financial services operations; brokerage and advisory trading experience preferred
Experience with Pershing and Envestnet a plus
FINRA Series 7 and 24 required
Proven ability to manage complex projects, lead teams, and adapt to changing business needs
Exceptional relationship-building skills and ability to influence across multiple stakeholders
Strong business acumen, strategic thinking, and ability to anticipate future trends
Preferred
Strong technical knowledge of financial services operations; brokerage and advisory trading experience preferred
Experience with Pershing and Envestnet a plus
Benefits
Flexible work schedules
Concierge service
Comprehensive benefits
Employee resource groups
Company
Northwestern Mutual
Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, and investments.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Timothy Gerend
Chairman, President and CEO
Phil Odella
COO/CFO
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