Job Summary
The Trading Services Senior Specialist provides day‑to‑day trade execution support and investment guidance to clients and Registered Financial Representatives. Operating within Northwestern Mutual, Northwestern Mutual Investment Services (NMIS), and the Wealth Management Company (WMC), this role executes and supports equity, fixed income, and options transactions, ensures regulatory compliance, and delivers a high‑quality service experience on the trading desk.
Primary Duties & Responsibilities
Client Advice & Portfolio Guidance
Determine customer financial needs, risk tolerance, suitability, and understanding of the securities markets; combine this with fact‑finders conducted by Financial Representatives, including portfolio analysis.
Based on market knowledge and customer objectives, counsel and educate clients on appropriate investments; recommend investments based on information gathered.
Establish credibility and build relationships to continuously assess client needs and make recommendations.
Keep informed of developments in the securities markets, using fundamental and/or technical research to arrive at sound and timely investment decisions on behalf of Northwestern Mutual clients.
Trading & Operations
Execute equity, fixed income (debt), and options transactions on behalf of Financial Representatives; ensure accurate processing and compliance with securities industry laws and regulations.
Review, process, and provide guidance to Financial Representatives on securities‑backed lines of credit (SBLOC), margin and options feature additions, worthless security removals, and corporate actions.
Compliance
Operate within all ethical and regulatory requirements of FINRA, the SEC, and the MSRB; adhere to SIPC membership requirements.
Maintain compliance with all NMIS policies, procedures, and standards.
Qualifications
Education & Experience
Bachelor’s degree in business or a business‑related field.
Broad professional knowledge of the investment/retail brokerage industry and a variety of securities products, gained through 3–5 years in a retail brokerage sales capacity.
Licenses
Active FINRA Series 7 and Series 63 required.
Skills
Excellent written and oral communication skills.
Demonstrated ability to pay close attention to detail.
Thorough knowledge of FINRA and federal/state laws and regulations related to securities processing.
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA
Compensation Range:
Pay Range - Start:
$57,260.00
Pay Range - End:
$106,340.00
Geographic Specific Pay Structure:
Structure 110:
Structure 115:
We believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!
Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
Skills
Process Improvement (NM) - Intermediate, Technical Problem Solving (NM) - Intermediate, Cross Functional Partnering & Planning (NM) - Intermediate, Storytelling through Data (NM) - Intermediate, Organizational & Political Savvy (NM) - Intermediate, Consulting (NM) - Intermediate, Adaptive Communication (NM) - Intermediate, Attention to Detail (NM) - Intermediate, Financial Services Industry Acumen (NM) - Intermediate, Audits (NM) - Intermediate, Change Adaptability (NM) - Intermediate, Customer Support (NM) - Intermediate, Statutes & Regulation (NM) - Intermediate, Organization (NM) - Intermediate, Customer Service Mindset (NM) - Intermediate, Policy Inquiries & Complaints Management (NM) - Intermediate, Industry Knowledge (NM) - Intermediate, Prioritization (NM) - Intermediate, Policy & Procedure (NM) - Intermediate, Financial Securities (NM) - Intermediate, Field Consulting (NM) - Intermediate, Business Acumen (NM) - Intermediate, Compliance (NM) - Intermediate, Strategic Thinking (NM) - Intermediate, Customer Centricity (NM) - Intermediate, Analytical Thinking (NM) - Intermediate, Root Cause Analysis & Decision Quality (NM) - Intermediate, Investment Management Systems (NM) - Advanced, Investment Products (NM) - Intermediate, Tax Awareness (NM) - Intermediate
FIND YOUR FUTURE
We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.
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