Northwestern Mutual · 22 hours ago
Mgr Investment Client Srvcs - Advisory Trading (S7/24)
Franklin, WI Corporate
Full-time
Onsite
Mid, Senior Level
$86K/yr - $160K/yr
7+ years expNorthwestern Mutual is a leading financial services company, and they are seeking a Manager of Investment Client Services focused on Advisory Trading. In this role, you will manage daily activities, lead staff development, and ensure compliance while driving operational efficiencies.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Manages team and employee development. Includes identifying staffing needs, mentoring and performance management
Communicates purpose, clarifies roles, tasks, milestones, and measures of success
Takes a leadership role and is responsible for identifying proactive solutions. Reviews, prioritizes and handles requests and escalations
Ability to drive innovation, create scale and efficiency, while ensuring compliance to program guidelines
Navigate regulatory and program changes by translating these into actionable steps, ensuring team processes are in compliance while also minimizing risk and operational disruption
Ensures the delivery of high-quality service in a cost-effective manner by managing operating plan, staff, budget and unit costs, consistently meeting service level goals, and ensures timely quality call/case reviews and audits
Handles the most complex escalated issues related to staff, cases, process, and/or systems from both home office and field operations areas
Collaborates with internal customers, external vendors, and across department lines to drive improvements and resolve issues as they arise. Main internal customers are product, compliance, supervision, and engineering
Applies deep industry and securities trading knowledge and experience, including products, functions of trading, associated regulatory framework, and trading systems
Ownership of advisory investment program procedures and ensures managed investment program accounts are managed according to program and regulatory requirements. Provides ongoing home office oversight function of investment advisory accounts to ensure supervisory integrity and compliance to ensure core fiduciary responsibilities are being met
Acts as division project owner, contributor, SME and/or lead and manages a variety of projects/enhancements from concept to completion including design, scope, process, time and budget. Ensures that all documentation requirements are satisfied as well as compliance with company and regulatory procedures
Ability to lead change management across the organization. This role interfaces directly with business clients, the field, other NM areas, strategic vendors and business system teams
Ensures that changes to the platform and other technology is integrated seamlessly into existing order of operations, while minimizing disruption, optimizing efficiency, and ensuring alignment with wealth business goals
Responsible for communicating on various levels, salary administration, conflict resolution, dealing with ambiguity and independently making quality decisions
Enhances field productivity, growth and retains customer assets by recommending product or system enhancements, identifying operational efficiencies and collaborating with various service providers
Identifies improvement opportunities that will lower unit costs; implements process or technology improvements in an effort to improve the client/field/home office experience and interactions
Assists senior management with succession planning by identifying future leaders and develop all individuals to their highest potential
Incumbent will keep abreast of developments in the industry and anticipates the need for communicating with various internal teams and network offices
Other responsibilities may be assigned as necessary
Qualification
Required
Bachelor's degree with an emphasis in business, investment operations management or equivalent experience
Minimum of seven years of related investment experience to include in-depth knowledge and design/implementation of investment operational procedures and policies
Includes a minimum of two years in an investment operational management leadership position with proven management, human relations and interpersonal skills necessary to manage a group of people
Technical knowledge of the operational aspects related to financial services and products, with brokerage and advisory trading experience preferred
Demonstrated ability to apply knowledge across complex business areas and manage projects and teams
Strong business acumen and demonstrated ability to learn new business concepts and procedures
Proven ability to be responsive to changing business needs, manage and prioritize concurrent assignments and handle ambiguity
Ability to focus and deliver proactively in a dynamic, multi-tasking, fast-paced environment
Demonstrated ability to anticipate future business consequences and trends
Experience working with internal and external customers towards meeting or exceeding customer expectations
Requires FINRA series 7 and 24
Preferred
Experience working with Pershing and Envestnet a plus
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
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