Investment Client Onboarding Senior Specialist (Hybrid)
Core
Execute investment client onboarding (ICOB) by creating proposals, generating account paperwork, processing transfers, and managing cash management instructions for Northwestern Mutual advisors.
Role type
Senior Investment Operations Specialist (ICOB)
Builds
New investment accounts and transferred assets for the Wealth Operations team
Domain
Financial Services / Wealth Management
Required skills
Investment operations (new account opening/transfers), FINRA Series 7, Account transfer tracking, Process improvement, Mentoring junior staff, Quality assurance, Advisor communication
Preferred skills
Basic investment knowledge, Special instruction handling, Critical thinking, Problem solving
Technologies
Investment systems, ACH/cash management systems
Responsibilities
Create investment proposals and generate new account paperwork; Track account status and contact contra-firms for transfers; Resolve account transfer issues and escalate when necessary; Recommend and implement process improvements; Mentor less experienced staff; Perform final quality checks for peers; Manage weekly calls with advisors for status updates