Investment Operations Associate
# Investment Operations Associate **Northwestern Mutual** · Naperville, IL 60563 · `On-site` 🕒 **Статус:** *Опубликовано: сегодня* · *Источник: Indeed* --- ### About the Role Support - Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork - Maintaining annual review notes in Envestnet and mailing annual review letters to clients - Monitoring and stocking marketing materials for Signature advisory programs - Monitoring industry trends and research - Ensuring NMIS and NMWMC compliance requirements are implemented and followed Proposal and Case Preparation -Gathering information for WMA meetings with client/prospect - Preparing and modifying investment/advisory proposals - Preparing letter of instruction for client signature - Preparing investment policy statement Processing Accounts - Preparing and processing all paperwork needed for investment/advisory accounts - Monitoring, processing and following up on asset transfers and on initial and subsequent funding of advisory accounts -Implementing initial and subsequent asset allocation trades - Identifying need for switch letter and mailing appropriate forms to clients -Discussing potential rollover opportunities from other retirement plans for variable and mutual funds - Processing proposal amendments, monitoring alerts and annual reviews in Envestnet - Executing buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation - Following up on trade rejects and resolving all trade-related issues - Monitoring holdings for program eligibility and administering advisory accounts Client Service - Corresponding with clients to handle investment related service issues - Contacting clients on behalf of the advisor for developing advisory plan and providing technical explanations of investment plan - Explaining investment products or investment performance to existing clients -Providing services and administering investment products -Accepting redemptions/withdrawals from clients and communicating instructions to home office - Discussing tax consequences, costs and investment fees - Maintaining daily ticker system for account follow-ups and service requirements - Performing cashiering functions - Running performance reports in Envestnet, Morningstar and NMCIR - Completing rollover calls Qualifications - Health and Life licensed or gain licensing within 6 months of employment - Financial Service or Insurance industry experience preferred - Series 6 and Series 63 in applicable states - Computer experience and/or data entry - Customer service experience - Demonstrated organizational skills, ability to multi task and time management skills with ability to - Strong attention to detail with the ability to work with a high degree of accuracy Pay: $65,000.00 - $75,000.00 per year Benefits: - Dental insurance - Health insurance - Paid time off - Vision insurance Work Location: In person
Наблюдалась 2026-10-20, впервые 2026-10-19, источник — Indeed.