Northwestern Mutual · 2 days ago
Trading Srvcs Cons (S7//24/S63) - Hybrid
Franklin, WI Corporate
Full-time
Hybrid
Mid, Senior Level
$78K/yr - $145K/yr
5+ years expNorthwestern Mutual is a leading financial services company, and they are seeking a Trading Services Consultant to provide advanced securities guidance and trade execution support. The role involves delivering high-level investment support, ensuring regulatory compliance, and serving as a technical resource within the trading services organization.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Provide advice, counsel, and guidance to clients and Registered Financial Representatives on the purchase and sale of securities
Determine client financial needs, risk tolerance, suitability, and market understanding; integrate findings with Financial Representatives’ fact-finders
Recommend appropriate investments based on market knowledge and client needs
Establish credibility and build relationships to continuously assess needs and make recommendations
Provide ongoing servicing to orphaned Business Retirement Market Accounts and unassigned Signature advisory accounts (annual reviews, suitability determinations, investment management services, client inquiries, and needed administrative tasks)
Coordinate with IPS departments to facilitate administrative changes, disbursements, and related matters
Execute and support equity, fixed income, and options transactions
Provide guidance on complex matters including bond ladders, executive option exercises, options strategies, and restricted stock
Stay informed on securities market developments, using fundamental and/or technical research to inform timely investment decisions
Ensure transactions are processed accurately while maintaining compliance with securities industry laws and regulations
Act as a resource to teammates, including training Securities Specialists and onboarding new IPS Trading Services staff
Evaluate and resolve complex issues escalated by team members
Serve as a credible technical resource for IPS Trading Services and other departments; present complex trading strategies and operational topics to large, diverse groups
Serve as back-up to the Assistant Director, IPS Trading Services, for approval of customer trade corrections and outgoing securities correspondence, preparing daily work, and consulting on customer complaint resolutions involving IPS Trading Services
Participate in and/or lead projects directly affecting IPS Trading Services
Contribute to the development of trading desk policies and procedures
Assist with external communications (e.g., IPS Updates, NMIS Connect, educational memos to MPs, Field Supervisors, and Field Representatives) to announce changes and provide education
Demonstrate initiative in workflow optimization, process improvement, and mentoring
Provide service and guidance for illiquid alternative investments offered on NM platforms
Respond to alternatives operations inquiries; research vendor issues as needed
Trade capital calls for drawdown-structured vehicles and remediate NIGOs with the field and vendors
Track evergreen subscriptions, ensure executions via API or manual order entry, and remediate NIGOs with the field and vendors
Operate within all ethical and regulatory requirements of FINRA, the SEC, and the MSRB
Maintain compliance with all NMIS and IPS Trading Services policies, procedures, and standards
Qualification
Required
Bachelor's degree in business or a related field
Minimum 5 years of experience in a retail brokerage sales capacity
Broad professional knowledge of the investment/retail brokerage industry and a variety of securities products
FINRA Series 7 and 63 required
Ability to obtain Series 65 (or registration as an IAR in Wisconsin) within 3 months
Ability to obtain at least one of Series 4, 24, or 53 within 6 months
Thorough knowledge of FINRA and federal/state laws and regulations related to securities processing
Strong attention to detail
Excellent written, verbal, and stand-up presentation skills
Demonstrated ability to gather pertinent client information to recommend appropriate products, services, and solutions
Proven success in project management and cross-functional participation
Initiative in process improvement, workflow optimization, and mentoring others
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
Recent News
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