Northwestern Mutual · 1 day ago
Trading Srvcs Cons (S7//24/S63) - Hybrid
Franklin, WI Corporate
Full-time
Hybrid
Senior Level
$78K/yr - $167K/yr
5+ years expNorthwestern Mutual is a leading financial services company, seeking a Trading Services Consultant to provide advanced securities guidance and operational expertise. This role involves advising clients on securities transactions, ensuring regulatory compliance, and supporting trading services operations.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Advise clients and Registered Representatives on the purchase and sale of securities across equities, fixed income, and options
Assess client financial needs, risk tolerance, suitability, and investment understanding using fact‑finding information from Financial Representatives
Educate clients and representatives on investment strategies and recommend appropriate products based on market conditions and objectives
Build trusted relationships to support ongoing needs and long‑term investment guidance
Support and execute complex transactions (e.g., bond ladders, options strategies, executive option exercises, restricted stock)
Monitor and interpret market developments using fundamental and/or technical research to inform timely, sound investment decisions
Ensure all trading activity complies with FINRA, SEC, MSRB rules and with NMIS/WMC policies and procedures
Serve as a backup to the Assistant Director for trade corrections, outgoing correspondence approvals, daily workflow preparation, and escalated client concerns
Coordinate the reassignment of Signature advisory accounts and orphaned Business Retirement Market (BRM) accounts when a servicing advisor departs (termination, disability, retirement, death)
Provide full servicing for orphaned accounts, including annual reviews, suitability updates, investment guidance, and administrative maintenance
Partner with home‑office and Network Office teams to ensure smooth transitions and a consistent client experience
Act as a subject matter expert for trading services; mentor and train Securities Specialists and newer team members
Evaluate and resolve complex issues escalated by team members
Present trading concepts, strategies (e.g., covered calls, bond ladders), and desk processes to large, diverse audiences
Contribute to the development and maintenance of trading desk policies, procedures, and internal communications
Qualification
Required
Bachelor's degree in business or related field
5+ years of experience in the investment/retail brokerage industry with broad knowledge of securities products
Thorough understanding of FINRA, SEC, MSRB, and state regulatory requirements for securities activities
Required at hire: FINRA Series 7 and Series 63
Within 3 months of hire: Series 65 (or WI IAR equivalent)
Within 6 months of hire: One or more of Series 4, 24, or 53
Excellent written and verbal communication skills, including confident group presentation capabilities
High attention to detail with strong analytical and problem‑solving skills
Demonstrated collaboration, project participation, mentoring, and continuous improvement mindset
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
Recent News
Bizjournals.com Feed (2025-11-12 15:43:17)
2026-01-22
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2026-01-17
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