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Associate Financial Advisor

Northwestern Mutual

Northwestern Mutual

Accounting & Finance
Orlando, FL, USA
Posted on Tuesday, November 14, 2023

Specific responsibilities may include some or all of the duties outlined in the Associate Financial Representative (Registered) job description, as well as:




·       Handling case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork

·       Maintaining financial representative’s calendar, scheduling and attending follow-up appointments

·       Responding to home office account inquiries

·       Maintaining annual review notes in Envestnet and mailing annual review letters to clients

·       Monitoring and stocking marketing materials for Signature Portfolio advisory program

·       Monitoring industry trends and research

·       Ensuring NMIS Compliance requirements are implemented and followed




·       Prospecting for new advisory clients on behalf of the employing financial advisor

·       Gathering information for financial advisor’s meeting with client/prospect

·       Preparing advisory annual review information

·       Preparing and modifying planning analyses and investment/advisory proposals

·       Preparing letter of instruction for client signature

·       Preparing investment policy statement, needs-based analysis or financial plan

·       Recommending fund portfolio options



Processing Accounts

·       Preparing and processing all paperwork needed for investment/advisory accounts

·       Processing and monitoring funding of advisory account and asset transfers to ensure selected asset allocation is implemented

·       Identifying need for switch letter and mailing appropriate forms to clients

·       Discussing potential rollover opportunities from other retirement plans for variable and mutual funds

·       Receiving and forwarding checks and related paperwork to investment operations area

·       Processing proposal amendments in Envestnet

·       Monitoring Envestnet for alerts and upcoming annual reviews

·       Administering advisory accounts according to program guidelines


Advisory Client Meetings

·       Meeting with advisory clients for fact finding and conducting existing advisory client reviews

·       Completing risk tolerance (personal profile) questionnaire with client

·       Making recommendations and modifying proposals and advisory accounts based on review meeting

·       Participating in client meetings for financial or investment plan development or presentation


Client Service

·       Corresponding with clients to handle advisory-related service issues

·       Contacting clients on behalf of the financial advisor to develop advisory plan and provide technical explanations of investment plan

·       Formulating advisory product solutions to/for a client or explaining advisory products or advisory performance

·       Accepting redemptions/withdrawals from clients and communicating instructions to home office

·       Discussing tax consequences, costs and advisory fees with client

·       Maintaining daily tickler system for account follow-ups and service requirements

·       Performing cashiering functions

·       Running performance reports in Envestnet, Morningstar and NMCIR


·       Health and Life licensed or gain licensing within 6 months of employment

·       Financial Service or Insurance industry experience preferred

·       Associate Agent Contract required

·       Experience in administrative support or customer service, preferably in the financial services and/or insurance industry

·       Excellent oral and written communication skills

·       Familiarity with Microsoft applications and data entry and information retrieval software

·       Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines

·       Strong attention to detail with the ability to work with a high degree of accuracy

·       Ability to proactively identify what needs to be accomplished and take action as appropriate

·       Has interest in learning on a continuous basis

·       Ability to embrace change and work in a fast-paced environment

·       Ability to work both independently and in a team

·       Ability to maintain confidentiality


  • Dental insurance
  • Health insurance
  • Vision insurance