Asst Dir Investment Client Srvcs Ops (S7/S24) - New Accounts, Maintenance, and Transfers- (Hybrid) at Northwestern Mutual

Franklin, Wisconsin, United States

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Investment ManagementIndustries

Requirements

Bachelor's degree in Business, Investment Operations Management, or equivalent experience
Minimum of five years of related investment experience, including in-depth knowledge and implementation of investment operational procedures and policies
At least four years in an investment operational management leadership role, demonstrating strong management, human relations, and interpersonal skills
Proficiency in the operational aspects of financial services and products, with preferred experience in brokerage and advisory trading; experience with Pershing and Envestnet is a plus
Ability to apply knowledge across complex business areas, manage projects and teams, and learn new business concepts and procedures
Proven ability to respond to changing business needs, manage multiple assignments, and handle ambiguity
Experience working with internal and external customers to meet or exceed expectations
Requires FINRA Series 7 and 24

Responsibilities

Oversee the development and management of team leaders, including identifying staffing needs, providing mentorship, and conducting performance evaluations
Lead the consultative service strategy for both Field and Client services
Clearly communicate objectives, roles, tasks, milestones, and success metrics
Drive innovation, scalability, and efficiency while ensuring adherence to regulatory requirements and guidelines
Translate regulatory and program changes into actionable steps, ensuring compliance and minimizing operational disruptions
Manage operating plans, staff, budgets, and unit costs to deliver high-quality service in a cost-effective manner, consistently meeting service level goals
Address complex escalated issues related to staff, cases, processes, and systems from both home office and field operations
Work with internal customers (e.g., Wealth, Compliance, Supervision, and Product teams), external vendors, and cross-departmental teams to drive improvements and resolve issues
Apply deep industry knowledge, including expertise in securities trading, regulatory frameworks, and trading systems
Lead organizational change management efforts, interfacing with business clients, field teams, strategic vendors, and business system teams
Ensure seamless integration of platform and technology changes into existing operations, optimizing efficiency and alignment with business goals
Communicate effectively at various levels, manage salary administration, resolve conflicts, and make independent quality decisions
Enhance field productivity and customer asset retention by recommending product or system enhancements and identifying operational efficiencies
Assist senior management with succession planning by identifying future leaders and developing team members to their highest potential
Stay informed about industry developments and proactively communicate necessary information to internal teams and network offices
Perform other duties as assigned

Skills

Team Management

Leadership

Regulatory Compliance

Securities Trading

Trading Systems

Change Management

Operational Efficiency

Issue Resolution

Consultative Service

Budget Management

Northwestern Mutual

Provides financial security services, and wealth management

About Northwestern Mutual

Northwestern Mutual offers personalized financial planning, life insurance, and investment services, leveraging leading-edge technology to manage over $125 billion in client assets for more than 4.5 million clients.

Milwaukee, WisconsinHeadquarters

1856Year Founded

N/ACompany Stage

Consulting, Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Growing your Career

Compensation & Time Off

Insurance plans

Health Savings Account

Wellness programs & resources

401(k) plan and cash balance contributions

Risks

Fintech platforms like Carefull challenge traditional financial advisory services.

Internal competition may arise from Wellthi's focus on the Black community.

Customer dissatisfaction may grow due to increased retirement age expectations.

Differentiation

Northwestern Mutual maintains the highest financial strength ratings in the industry.

The company launched 'The Great Realization' campaign to refocus customer priorities.

Northwestern Mutual offers a unique Long-Term Advantage product with life insurance benefits.

Upsides

The aging population increases demand for retirement planning and long-term care solutions.

Partnerships with tech firms enhance Northwestern Mutual's data analytics capabilities.

Digital transformation in insurance leads to more personalized customer experiences.

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