Director of Investment and Client Operations

Salary: $75k-$90k DOQ

Northwestern Mutual - Alexandria is an established comprehensive financial advisory firm. The Director of Operations & Client Service role specializes in client service and processing of variable products and other securities. This person will ensure the maintenance of an efficient and compliant office, allowing the wealth management advisor to focus on building client relationships. The Director of Operations & Client Service is a liaison between the corporate office, wealth management advisor and clients. Responsibilities include, but are not limited to:

 

 Advisor Support

• Handle case notes, processing correspondence, maintaining client case files and filing performance reports, account forms and other advisory paperwork
• Maintaining the team calendar
• Responding to home office account inquiries
• Monitoring and stocking marketing materials for Signature advisory programs
• Ensuring compliance requirements are implemented and followed

 

Account Services

• Gathering information for Wealth Management Advisor meetings with client/prospect
• Preparing advisory annual review information
• Preparing, processing, and monitoring all paperwork needed for investment/advisory accounts for asset transfers and on initial and subsequent funding of advisory accounts
• Processing proposal amendments, monitoring alerts and annual reviews, executing buy/sell orders and rebalancing orders
• Verify paperwork is completed correctly and relay information that is still needed to advisor

 

Client Services

• Corresponding with clients to handle advisory related service issues
• Obtain all necessary information along with specific instructions from the Wealth Management Advisor
• Accepting redemptions/withdrawals from clients and communicating instructions to home office

 

Benefits

• Medical, dental, and vision insurance
• Employer-provided retirement account
• Short Term Disability
• PTO
• Paid Holidays
• Salary & Bonus Structure

Qualifications Required:

• 2 years industry investment experience
• Investment License - Series 7 is required
• Bachelor’s degree is preferred
• Familiarity with Microsoft applications and data entry and information retrieval software
• Excellent oral and written communication skills
• Strong critical thinking, financial analysis and problem-solving skills required
• Ability to manage multiple diverse projects and assignments in a timely and quality manner
• Strong attention to detail with the ability to work with a high degree of accuracy
• Demonstrated ability to maintain effective working relationships with clients
• Ability to embrace change and work in a fast-paced environment
• Able to work both independently and in a team
• Ability to maintain confidentiality
• Desire and capacity for further education and credentials

 

 Upon Hire:

 

• Minnesota Life, Accident & Health Licensing
• General Securities Registered (Series 7)
• Completion of home office Signature advisory training