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Investment Operations Assistant

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 distinctive big-picture approach that combines insurance and investments, we guide people towards their financial goals. Our financial professionals use leading-edge technology and personalized digital experiences to provide the best service to our clients.

Role Description

This is a full-time on-site role as an Investment Operations Assistant located in Lexington, KY. As an Investment Operations Assistant, you will be responsible for performing day-to-day operational tasks related to investment operations. This includes managing operational processes, conducting analysis, ensuring accuracy of data, and providing exceptional customer service.


  • Operations and Operations Management skills
  • Analytical Skills
  • Strong communication skills, both verbal and written
  • Excellent customer service skills
  • Attention to detail and ability to work accurately with data
  • Knowledge of financial products and investment operations
  • Proficiency in Microsoft Office Suite
  • Bachelor's degree in Finance, Business, or related field
  • Series 6 and Series 63 or Series 7 and 63 preferred
  • One to three years in finance of securities industry experience preferred

Specific Responsibilities


· Open and distribute mail. Prepare outgoing Northwestern Mutual Investment Services pouch mail or overnight mail.

· File and log appropriate correspondence and forms.

· Maintain supplies of prospectuses and sales material.

· Maintain complaint file.

· Distribute processed trades and mutual fund statements to registered representatives.

· Handle incoming calls to answer client requests for current account information only or direct calls to appropriate personnel.


· Processes account maintenance requests.

· Review and process commission reports.

· Review branch production reports.

· Maintain daily bank deposits, check and order logs for Agency Supervisory review/approval.

· Process service requests including funds disbursements, account transfers.

· Process trade correction requests per approval from Agency Supervisor/Invest. Operations Manager.


· Respond to registered representative administrative requests.

· Act as Liaison for Financial Representative Northwester Mutual Investment Service needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly.