Northwestern Mutual

Brokerage Services Registered Analyst – Series 6/7/63

Northwestern Mutual

full-time

Posted on:

Location Type: Remote

Location: New Jersey • North Carolina • United States

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Salary

💰 $23 - $35 per hour

About the role

  • Provide advice, counsel, guidance and direction to clients and Registered Financial Representatives on the purchase and sales of securities.
  • Executes mutual fund order transactions on behalf of Financial Representatives and clients.
  • Determines customer financial needs, risk tolerance, suitability and understanding of the securities markets.
  • Provide timely and accurate investment performance information, account statements, and investment-related queries to clients.
  • 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.
  • Handles phone and transactional responsibilities while adhering to strict confidentiality and privacy standards.
  • Serves as a trusted advocate for our Financial Representatives and partners with them to meet the needs of our clients.
  • Regularly promotes client retention and identifies opportunities for the field to build existing relationship, knows when to refer back to the field for follow- up.
  • Delivers a personalized and remarkable experience for our clients by answering their questions, providing servicing options and helping them with their products or services in a call center environment.
  • Takes ownerships of calls and anticipates future issues to avoid repeat calls and unnecessary call transfers.
  • Researches and evaluates possible solutions to complex problems that requires identifying root cause and deviation from procedures and handles escalation resolution.
  • Fosters a professional relationship with our clients to enhance brand loyalty.

Requirements

  • FINRA Series 7/63 Licenses
  • Associates degree in business or related field or equivalent combination of education and experience
  • Minimum of 4 years related customer service experience with proven customer service skills
  • Expert knowledge of investment products or markets
  • An expert understanding of tax implications
  • Advanced written and verbal communication skills
  • Ability to multi-task and handle high volume of calls/case load with the greatest possible degree of accuracy
  • Strong organization skills with the ability to prioritize tasks
  • A strong desire to continuously learn and improve
  • Strong problem-solving skills and ability to provide options
  • Demonstrated computer experience with solid keyboarding skills and proficiency with current software packages
Benefits
  • Health insurance
  • 401(k) matching
  • Paid time off
  • Flexible work arrangements
  • Professional development
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
FINRA Series 7 LicenseFINRA Series 63 Licenseinvestment products knowledgetax implications understandingcustomer service experiencetrade executionaccount maintenancetransaction analysisproblem-solvingkeyboard proficiency
Soft Skills
advanced communication skillsmulti-taskingorganizational skillsprioritizationcontinuous learningclient relationship managementconfidentiality adherenceproblem resolutioncustomer retentionadvocacy
Certifications
Associates degree in business or related field