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Director of Planning and Investment Operations

Northwestern Mutual

Northwestern Mutual

Lexington, KY, USA
Posted on Thursday, July 4, 2024

Company Description

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years. With a big-picture approach that includes insurance and investments, we guide our clients towards their goals today and in the future. Combining the expertise of our financial professionals with personalized digital experiences and leading-edge technology, we provide the best service to our clients.

Role Description

This is a full-time on-site role as the Director of Planning and Investment Operations located in Lexington, KY. The Director of Planning and Investment Operations works with financial advisors to deliver financial security to their clients through a comprehensive planning process that integrates risk and investment products. This role will help financial representatives increase productivity by providing planning and integrated operations support.

Case Preparation

· Take ownership of reviewing client documents, analyzing statements, and providing insight that informs and supports the advisors.

· Use case notes to create Financial Plans for advisors teams using state of the art planning software.

Sales and Service Support

· Prepare and collaborate with others to provide materials and information financial representatives need to support the investment client onboarding process.

· Process and collaborate with others to open/fund investment accounts and investment service requests such as funds disbursements, account transfers and trade correction requests, etc.

· Responsible for quality control of client meeting deliverables and managing communication with clients, with strong attention toward deadlines.



· Life, Accident & Health Insurance licenses (or ability to obtain within the first 60 days of employment).

· SIE, Series 7 & 66 (or ability to obtain within the first year of employment)

· Strong attention to detail, accuracy and reliability with the ability to thrive in a fast-paced environment

· Enthusiastic to support team of advisors to provide top-tier customer service and a passion for impacting the lives of clients from diverse communities.


· Bachelor’s Degree in business, finance and/or related field

· 2-3 years financial planning experience

· 2-3 years of broker dealer knowledge and understanding

· Ability to assess client financial situations and analyze portfolios to develop and implement comprehensive plans aligned with client goals

· Strong analytical, problem solving, and written and verbal communication skills, with the ability to work well with others

· Some progress or interest in obtaining Chartered Financial Analyst (CFA®) designation