Northwestern Mutual

Financial Planning and Analysis

• Engage with clients to understand their financial goals, aspirations, and concerns.
• Develop comprehensive financial plans that include investments, insurance, and retirement.
• Recommend and implement insurance strategies to protect clients' assets and income.
• Monitor clients' financial plans and provide regular updates, adjusting strategies as needed to meet changing circumstances.
• Build and maintain a network of clients through referrals, community involvement, and professional associations.

Financial Planner, Healthcare Background

• Engage with clients to understand their comprehensive financial needs
• Provide personalized guidance to help clients achieve financial protection and planning goals
• Design and implement tailored strategies for clients' assets and income
• Regularly review and update clients' financial plans and insurance policies
• Cultivate a robust network of clients through referrals and community involvement

Financial Advisor – Athletic Background

Account Executive

Sales Representative

• Engage with clients to understand their financial goals, aspirations, and concerns
• Develop comprehensive financial plans that include investments, insurance, and retirement
• Recommend and implement insurance strategies to protect clients' assets and income
• Monitor clients' financial plans and provide regular updates, adjusting strategies as needed to meet changing circumstances
• Build and maintain a network of clients through referrals, community involvement, and professional associations

Financial Representative – Entry Level

Analyst

• 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.

Brokerage Services Registered Analyst – Series 6/7/63

• Independently processes various billing workflows and work baskets.
• Responds to billing inquiries from home office and field staff.
• Participates in cross‑functional projects and committees.
• Assists teammates with oversight of day‑to‑day operations.
• Researches and resolves a variety of inquiries from internal teams related to fee and billing processes.
• Monitors, reconciles, and executes events in the investment advisory fee cycle.
• Resolves a variety of investment operations inquiries escalated from home office and field staff.
• Participates in process improvements, product introductions, and system enhancements across the department.

Investment Client Services Specialist – Fees and Billing

Customer Support

• Delivers a personalized and exceptional experience for clients by answering questions, providing servicing options, and supporting products or services in a call center environment.
• Proficient in resolving basic and intermediate (semi-complex) inquiries and transactions from Financial Representatives and clients within a registered area, while continuing to develop proficiency in more complex work.
• Researches and evaluates potential solutions to complex problems, which may require identifying root causes and navigating deviations from standard procedures.
• Takes ownership of calls and anticipates future issues to avoid repeat calls and unnecessary transfers.
• Effectively de-escalates challenging client situations while guiding clients through complex or unique inquiries.
• Serves as a trusted advocate for Financial Representatives and partners with them to meet client needs.
• Embraces new technology and promotes website and self-service capabilities by educating clients and field partners, while understanding the risks and impacts transactions may have on clients or policies.
• Understands how systems connect to processes and outcomes.
• Drives change and supports continuous improvement by helping develop processes and provisions to accommodate evolving business needs.
• Fosters professional relationships with clients to enhance brand loyalty.
• Handles phone and transactional responsibilities while adhering to strict confidentiality and privacy standards.
• Adapts work priorities to meet changing business and customer demands.

Licensed Customer Service Representative – Series 6/63, 7/63

• Responsible for setting and updating the company’s financial standards and requirements
• Provides financial underwriting expertise on case consultations
• Supplies financial expertise for underwriter training
• Resolves complex case escalations by providing technical expertise

Assistant Director, Financial Underwriting – Accounting

• Leads and develops a high-performing Asset Movement team by identifying staffing needs, coaching and mentoring, setting clear expectations, and driving performance management to achieve team and service goals.
• Provides day-to-day operational leadership for Asset Movement by clarifying roles, workflows, priorities, milestones, and success measures; ensures work is distributed effectively and completed accurately and timely.
• Drives proactive problem-solving and decision-making by reviewing and prioritizing requests and operational issues; evaluates options, recommends solutions, and removes barriers to deliver consistent outcomes for field partners and clients.
• Ensures delivery of high-quality, cost-effective service by managing the operating plan, staffing model, budget, and unit costs; consistently meets service level goals and ensures timely quality call reviews and processing audits.
• Owns escalation management for Asset Movement including escalated issues related to staff, cases, processes, and systems from both home office and field operations; partners across teams and with external vendors to drive timely resolution and prevent repeat issues.
• Provides oversight of program procedures and regulatory adherence by ensuring accounts and transactions are managed according to program requirements and applicable regulations; maintains appropriate supervisory controls to support fiduciary responsibilities and compliance expectations.
• Leads and delivers projects and enhancements as a project owner, contributor, SME, and/or lead—managing scope, timelines, and (when applicable) budget from concept through implementation; ensures documentation and procedural requirements are met.
• Leads change management across stakeholders by partnering with business clients, the field, internal NM areas, strategic vendors, and business system teams to implement operational improvements, adoption, and sustained results.
• Communicates effectively at all levels and demonstrates strong judgment in salary administration, conflict resolution, ambiguity, and independent decision-making to support business needs and employee experience.
• Improves field productivity, client experience, and asset retention by identifying operational efficiencies and system enhancements, reducing friction in Asset Movement servicing, and collaborating with service partners to strengthen end-to-end execution.
• Drives continuous improvement by identifying opportunities to lower unit costs and improve service quality; implements process and/or technology improvements that enhance client and field interactions.
• Supports succession planning and talent pipeline development by identifying future leaders and creating development opportunities to grow team capability and bench strength.
• Stays current on industry and operational developments and proactively communicates changes, risks, or impacts to key internal partners and network offices as needed.
• Other responsibilities may be assigned as necessary.

Manager, Investment Client Services – Asset Movement

Director

• Support Journey teams in advancing the enterprise-wide Client & Field Experience capability through research-driven insights and experience design.
• Assist in defining experience strategies across client and advisor lifecycles, ensuring alignment between client needs, field workflows, and business outcomes.
• Translate client and field needs into experience opportunities, hypotheses, and experience design inputs for domain teams.
• Support development of problem statements, opportunity sizing, and value hypotheses informed by client and field insights.
• Assist in defining experience-related OKRs and success measures.
• Plan and conduct experience research to understand client, advisor, and field leader needs, pain points, and behaviors.
• Synthesize insights from Voice of the Client, Voice of the Field, operational data, surveys, and usability testing.
• Create compelling insight narratives that translate research findings into actionable guidance.
• Lead or support experience design activities for client and/or field sub-journeys, including journey mapping and service design.
• Collaborate with peers, cross-functional partners, domain and delivery teams to ensure client and field experience designs are feasible and scalable.
• Participate in client and field co-creation sessions, pilots, and validation activities.

Assistant Director, Client & Field Experience Strategy

• Serve as a subject matter expert for investment products and advisory processes, providing consultative support to financial representatives and internal partners
• Analyze complex inquiries, identify root causes, and deliver solutions that align with compliance and operational standards
• Collaborate with cross-functional teams to resolve escalated issues and ensure seamless client experiences
• Educate stakeholders on best practices, system capabilities, and process improvements to drive efficiency and accuracy
• Contribute to strategic initiatives within Investment Client Services by sharing insights and recommending enhancements
• Maintain a strong understanding of industry regulations, tax implications, and product features to support informed decision-making