Trading Srvcs Sr. Spec
Core
Advise clients and Financial Representatives on securities transactions across equities, fixed income, and options while ensuring accurate execution and regulatory compliance.
Role type
Senior Trading Specialist (Registered Representative)
Builds
Client portfolios and investment recommendations for Northwestern Mutual clients
Domain
Financial Services / Securities Trading
Deliverable
client delivery
Required skills
Securities market knowledge, portfolio analysis, regulatory compliance, trade execution, client needs assessment
Preferred skills
Alternative investment experience, advanced portfolio analysis
Technologies
Equity, fixed income, options markets
Responsibilities
Execute equity, fixed income, and options transactions; assess client financial needs and risk tolerance; maintain compliance with FINRA, SEC, and MSRB regulations; educate clients on investment strategies
Seniority
Senior, hands-on IC
