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.

Qualifications

• 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

OFFICE ADMINISTRATION

· 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.

DATA ADMINISTRATION

· 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.

SERVICE SUPPORT

· 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.