The Investment Client Services Analyst (Series 7/63) is a licensed, client-facing role responsible for supporting clients and registered financial representatives with investment account questions, performance inquiries, and securities transactions.
Success in this role requires strong investment product knowledge, the ability to de-escalate complex situations, and ownership of issues through resolution. The analyst also contributes to continuous improvement efforts, embraces new technology, and educates clients and field partners on digital/self-service capabilities—helping strengthen relationships and support client retention.
Primary Duties & Responsibilities:
Provide consultative service to clients and advisors on a variety of investment concepts
Act as a point of expertise on multiple areas: mutual fund trading, brokerage account servicing, cost basis, and tax reporting
Participate in opportunities to apply industry knowledge while gaining exposure to complex problems and building upon critical thinking skills
Collaborate regularly with department leads and NM Wealth business partners to drive product enhancements
Work in a dynamic setting to continuously learn new concepts and help others navigate change in the industry
Serve as a primary point of contact for NM Investment home office assigned clients, addressing inquiries regarding investment accounts and products.
Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance, while ensuring accuracy and compliance.
Stay up-to-date on industry trends, investment products, and regulatory requirements to provide knowledgeable support to clients and internal stakeholders.
Qualifications
FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
Associates degree in business or related field or equivalent combination of education and experience
Minimum of 3 years related financial services experience with advanced customer service, written, and verbal communication skills
An intermediate understanding of tax implications related to investments
A strong desire to continuously learn and improve
Strong problem-solving and scenario-evaluation skills with an ability to provide solution
Customer Support (NM): Captures customer information for inquiry and analysis in an organized, clear, and consistent manner; uses customer intelligence to solve problems, support informed decisions, communicate with customers and the field, and resolve complaints efficiently.
Root Cause Analysis & Decision Quality (NM): Applies problem-solving methods to identify the fundamental causes of issues and makes timely, data-driven decisions by evaluating success factors, customer risks, business requirements, and value.
Analytical Thinking (NM): Organizes and compares information to identify complex underlying issues through quantitative data and analysis; considers multiple perspectives and consistently seeks process improvements.
Data Security (NM): Protects customer privacy and confidentiality, maintains appropriate access to private data, and follows applicable legal and regulatory requirements for data management.
Client Advocacy (NM): Translates customer issues and pain points into requirements, represents clients’ best interests, and communicates client feedback to product teams and relevant stakeholders.
Investment Products (NM): Applies knowledge of investment products, financial markets, investment concepts, and related regulations while considering customer needs, market trends, and cross-functional partnerships.
Compliance (NM): Applies organizational standards, policies, processes, and procedures to ensure regulatory requirements are met and compliance is maintained.
Compensation Range:
Pay Range - Start:
$23.11Pay Range - End:
$34.66Geographic Specific Pay Structure:
Structure 110:
Structure 115:
We believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
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Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
Job details are sourced from the employer's original posting.
Open job postingAbout the company
Northwestern Mutual, one of the “World’s Most Admired” companies according to FORTUNE® magazine, has helped clients achieve financial security for more than 157 years. The company focuses solely and directly on its clients and seeks to deliver consistent and dependable value to them over time. Northwestern Mutual and its subsidiaries offer a holistic approach to financial security solutions including: life insurance, long-term care insurance, disability insurance, annuities, investment products, and advisory products and services. Our Northwestern Mutual offices in the Greater New York area rapidly expanding and currently seeking energetic financial sales representatives to continue our ambitious growth plan serving the Greater NYC, Fairfield County Connecticut, Northern New Jersey and Long Island areas. Northwestern ranks #114 on Fortune’s 500, was named the “World’s Most Admired” life insurance by FORTUNE magazine, "Best Place to Launch a Career" by BusinessWeek, and recognized as one of the best places to work in America by Glassdoor.com.