Team Lead for Investment Business Support
Northwestern Mutual - Puget Sound
Seattle, WA US
Posted ago
Northwestern Mutual - Puget Sound

The responsibilities of the Team Lead for Investment Business Support are to oversight the Investment Services unit’s day-to-day operations of the Advanced Planning Services area, customized advanced planning support that provides advisory wealth management services, policy owner services, and underwriting support for experienced career advisors. Additionally, the Team Lead for Investment Business Support provides case consultation and education to grow and strengthen the Financial Advisors' integrated planning practices.

  • Job Type: Full-time
  • Pay: $51,000 - $90,000 per year
  • Schedule: Monday to Friday
  • Licenses: Series 7 and 66 (Required)
  • Experience: Minimum of 3-5 years of advisory sales experience (Required)
  • Education: Bachelor’s Degree in business, finance and/or related industry experience (Required)
  • Work authorization: United States (Required)
  • Work Location: Seattle

Responsibilities

Operational Responsibilities:

  • New investment (brokerage & advisory) account opening paperwork preparation, DocuSign submission, and processing
  • Asset movement paperwork preparation, DocuSign submission, and processing (ACH, Transfers, Wires, Checks)
  • Establish check writing and households
  • Advisory proposals
  • Mutual fund trading / SRS set-up
  • 401(k) conference calls with clients to request rollovers   

Case Consultations:

For new accounts:

  • Complete version of the “Investor Client Information Sheet” and “Investor Profile” for each client.
  • What account type(s) we’re opening.
  • For advisory accounts, what asset allocation and trading model (Active/Passive, Market Index, Customized, and whether you want tax-advantaged bonds for non-qualified accounts).
  • Banking information (if applicable).
  • For periodic contributions: preferred date for recurring drafts and mutual fund(s) to be purchased, if brokerage.
  • Statements for accounts being transferred (if applicable).

For any service requests:

  • Account number and client name the request is for.
  • Dollar amount.
  • Clearly state whether we’re depositing into NM or transferring funds out.
  • If transferring funds out and cash is not available, must specify fund(s) to sell (dollar amounts or percentages – brokerage only) and what time the order was verbally confirmed with the client.
  • If depositing cash into a brokerage account, the funds will remain in cash until advice what specific fund(s) to purchase (dollar amounts or percentages) and what time the order was verbally confirmed with the client.

Qualifications

Qualifications

Required:

  • Series 7 & 66
  • Minimum of 3-5 years of advisory sales experience
  • Bachelor’s Degree in business, finance and/or related industry experience

 Preferred:

  • Ability to assess client financial situations and analyze portfolios to develop and implement comprehensive financial plans aligned with client goals
  • Counsel advisors on a variety of proactive approaches and solutions
  • Strong analytical, problem solving, and written and verbal communication skills
  • Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment
  • 2-3 years advanced planning experience
  • Committed to professional development (e.g. CLU, ChFC, CFP)

Contract Requirements:

  • Associate Wealth Management Advisor contract
  • Contracted to the Managing Partner

Compensation
$51,000 - $90,000 yearly
About Northwestern Mutual - Puget Sound

At Northwestern Mutual, we’re committed to mutual success. You’ll find people with varied experiences and perspectives in an environment that emphasizes teamwork and collaboration.

Devotion to its policy owners has led Northwestern Mutual through nearly 160 years of industry success. Some of our accolades include:

  • #97 on Fortune 100 in 2021
  • "World's Most Admired" Company in our Industry by Fortune
  • Top 125 Companies for Training & Development (2009-2017)
  • Top 10 Independent Broker-Dealer by Financial Planning Magazine ('05-'17)
  • Top 50 Companies to Launch a Career with by Business Week from ('06-'17)
  • Named one of the “50 Best Companies to Sell For” by Selling Power magazine
  • Named one of the "50 Best Places to Launch a Career" by BusinessWeek magazine
  • Highest Financial Strength Ratings by Standard & Poor’s, Moody’s, Fitch Ratings, and A.M. Best
  • Top 5 independent broker-dealers

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