Investment Client Onboarding Senior Specialist (Hybrid)
Core
Deliver investment operational support for the Wealth Operations team by managing the Investment Client On-Boarding (ICOB) program, creating proposals, generating account paperwork, and executing transfer requests with high accuracy.
Role type
Senior Investment Operations Specialist (ICOB)
Builds
New investment accounts and asset transfers for Northwestern Mutual advisors and clients
Domain
Financial Services / Wealth Management / Investment Operations
Required skills
Investment operations (new account opening/transfers), FINRA Series 7, Financial services experience, Account transfer tracking, Process improvement, Mentoring, Quality assurance, Communication, Analytical skills, Problem solving
Preferred skills
Basic investment knowledge, Special instructions handling, Stakeholder management
Technologies
Investment systems, ACH/cash management systems, Transfer request platforms
Responsibilities
Create investment proposals and generate new account paperwork; Enter transfer requests and ACH/cash management instructions; Track account status and contact contra-firms; 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
Seniority
Senior, hands-on IC with mentoring responsibilities