Operations Manager
Randall Financial at Northwestern Mutual
Charlotte, NC US
Posted ago
Randall Financial at Northwestern Mutual

Our team is committed to our mission of maximizing our clients’ financial potential so they can build a rewarding future for their family or business. We’re looking for an organized and innovative professional who is confident with managing the daily operations of a financial advisor’s practice while contributing their passion and strategic ideas to our growing firm. Our Operations Manager will oversee business operations, anticipating the needs of our office and planning for its development. This individual should be confident taking independent action while acting as a liaison with financial advisor, home office, network support team, other representatives, staff, and clients. Specific responsibilities include but are not limited to:


Operational Support

  • Handle case notes, process correspondence, and maintain client case files
  • File new statements, account forms, and other insurance/investment-related materials
  • Maintain supplies of current insurance/investment-related marketing materials
  • Maintain current client information for all product lines
  • Communicate with home office as needed to supply or obtain information
  • Proactively reach out to clients to schedule annual review meetings
  • Answer incoming phone calls to the practice and direct them as appropriate
  • Prepare prospecting materials and generate lead lists
  • Maintain tight operational systems for account follow-up and service requirements
  • Track operational and performance goals

Client Service Support

  • Collaborate with an advisor to put together plans to best help clients achieve their goals
  • Gather and prepare information for meetings with clients and prospects, including annual reviews
  • Review and submit insurance applications (Life, DI, LTC)
  • Arrange medical, paramedical, and any exams necessary for underwriting
  • Actively manage underwriting process and regularly follow up on outstanding requirements
  • Prepare policies for delivery and obtain Policy Delivery Acknowledgements
  • Investment operations support including account openings, processing transfers, coordinating paperwork, etc.
  • Portfolio analysis and construction
  • Prepare and/or modify planning analyses, insurance, and investment/advisory proposals
  • Prepare investment policy statement, needs-based analysis, or financial plan
  • Process all incoming service requests (address changes, bank change information, loan requests, ISA service inquiries, etc.)
  • Prepare account summaries
  • Learn and uphold compliance standards
  • Sustain a positive, enthusiastic, and professional office atmosphere for clients, representatives, and colleagues


  • At least one year of experience in financial services and/or insurance industry preferred
  • Excellent oral and written communication skills with the ability to practice attentive and active listening and communicate in an open and direct manner
  • Familiarity with Microsoft applications, data entry, and information retrieval software
  • Demonstrated organizational and time management skills and ability to multitask, set priorities, and meet deadlines
  • Strong attention to detail with the ability to work with a high degree of accuracy
  • Ability to embrace change and work in a fast-paced environment, as well as manage multiple diverse projects and assignments in a timely and quality manner
  • Ability to work both independently and on a team
  • Ability to maintain confidentiality
  • Willingness and ability to obtain additional financial services licenses and designations:
  • Must have or obtain Series licenses within 6 months of employment
  • Opportunity to obtain additional field-related licenses and designations

$45,000 - $60,000
About Randall Financial at Northwestern Mutual

Our practice is a solo financial practice and it is our mission to improve people's lives by empowering them to give purpose to their money. With so many demands on our time, it's easy to rush important decisions - or even avoid them altogether. We consider it a privilege to help you prioritize your financial health. We spend time getting to know your family or business, to truly understand your "why," your complete financial picture, and your short-term and long-term goals. Then we craft a personalized path to financial confidence and peace of mind. We're passionate about building lasting partnerships with you and staying focused on your priorities so you can be financially secure to live your best life, no matter what life brings.

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