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Investment Operations Specialist

Investment Operations Specialist

Northwestern Mutual - ClaytonClayton, MO, US
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Title :

  • Investment Operations Specialist Location : Clayton, MO Travel Requirements : Up to 15% Client Interaction : >

50% FLSA Classification : Exempt Servant-Minded | Reliable | Transparent | Lifelong Learners Position Overview and Purpose The Investment Operations Specialist position is a role that provides support to onboarding, opening, delivery, and servicing of investment clients.

  • The primary function of this role is to focus on creating smooth and repeatable onboarding for clients using standard operating procedures and proven client success strategies.
  • The Investment Operations Specialist will provide support for clients as they move through the stages of the establishing investments accounts with Phase Financial and be the first point of contact for customer care.
  • The Investment Operations Specialist aim is to create a positive customer experience through setting expectations, frequent communication, and prompt turnaround of work, so that clients are primed for repeat sales and referrals based on experience and interactions.
  • Job Responsibilities / Principal Duties
  • Facilitate and assist in the creation of Investment account openings, including data gathering and paper / digital signature requests.
  • Pre-fill investment account paperwork (both paper and electronic) for client execution.
  • Collaborate with centers of knowledge to ensure seamless onboarding process.
  • Provide timely and confidential handling of client information.
  • Process investment accounts and trades.
  • Prepare and submit appropriate account opening documents, follow up with outstanding items.
  • Manage tasks and workflow items from incoming work streams to ensure smooth end to end client support.
  • Client Onboarding and Service
  • Perform client support for new investment clients and manage the flow of active transaction requests.
  • Proactively communicate with clients throughout the onboarding process and manage all client communication and service pertaining to investments.
  • Administrative and Operational Duties
  • Process correspondence and maintain and update current case files.
  • May be required to provide back-up support in other areas of operations as needed.

    • Qualifications Licensing and Registrations :

  • Required : Life and Health insurance license.
  • Preferred : FINRA Series 6 at minimum, Series 7 preferred.
  • Additional designations such as CLU, ChFC, and CFP are highly regarded.

    • Experience :

  • Experience with insurance and annuity administrative systems and point-of-sale technologies.
  • Proven track record of setting and meeting production standards.
  • Customer service experience including excellent oral and written communication skills.

    • Skills :

  • Strong attention to detail and problem-solving abilities.
  • Proficient in Microsoft Office programs and common web-based applications.
  • Ability to work in a fast-paced environment and manage multiple projects / events.

    • Additional Attributes :

  • Self-motivated, professional, and service-oriented.
  • Ability to maintain effective working relationships with clients and team members.
  • Flexible, adaptable, and capable of managing workloads through change.
  • Compensation
  • Salary negotiable based on experience
  • Industry licensing and continuing education expenses
  • Health, Vision, and Dental Insurance
  • Short-term Disability
  • 401(k)
  • PTO + Holiday Pay Powered by JazzHR
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    Operation Specialist • Clayton, MO, US

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