Brokerage Services Registered Analyst - Series 6/7/63 - Remote

The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions.

Success in this role requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities-helping strengthen relationships and support client retention.

Primary Duties & Responsibilities:

• Provide consultative service to clients and advisors on a variety of investment concepts
• Act as a point of expertise on multiple areas: mutual fund trading, brokerage account servicing, cost basis, and tax reporting
• Participate in opportunities to apply industry knowledge while gaining exposure to complex problems and building upon critical thinking skills
• Collaborate regularly with department leads and NM Wealth business partners to drive product enhancements
• Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry
• Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
• Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.

• Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.

Qualifications

• FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)

  FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)

• Associates degree in business or related field or equivalent combination of education and experience

  Associates degree in business or related field or equivalent combination of education and experience

• Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills

  Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills

• An intermediate understanding of tax implications related to investments

  An intermediate understanding of tax implications related to investments

• A strong desire to continuously learn and improve

  A strong desire to continuously learn and improve

• Strong problem-solving and scenario-evaluation skills with an ability to provide solutions

  Strong problem-solving and scenario-evaluation skills with an ability to provide solutions

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:

$23.11

Pay Range - End:

$34.66

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!

Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

Skills

Teamwork (NM) - Advanced, Compliance (NM) - Advanced, Analytical Thinking (NM) - Advanced, Escalation Management (NM) - Advanced, Change Adaptability (NM) - Advanced, Financial Services Industry Acumen (NM) - Advanced, Root Cause Analysis & Decision Quality (NM) - Advanced, Investment Products (NM) - Advanced, Prioritization (NM) - Advanced, Policy & Procedure (NM) - Advanced, Customer Support (NM) - Advanced, Tax Awareness (NM) - Advanced, Client Advocacy (NM) - Advanced, Field Relations (NM) - Advanced, Attention to Detail (NM) - Advanced, Quality Acumen (NM) - Advanced, Adaptive Communication (NM) - Advanced, Data Security (NM) - Advanced, Insurance Products (NM) - Advanced, Policy Inquiries & Complaints Management (NM) - Advanced, Customer Service Mindset (NM) - Advanced, Case Management (NM) - Advanced

FIND YOUR FUTURE

We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups

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