Investment and Planning Associate

As a wealth management firm, we create clarity for our clients so they can do all the things that matter most, with the people who matter most. Our mission is to create written plans for families and businesses through best-in-class products, excellent client experiences, and services for a lifetime of financial security.

The Investment and Planning Associate is responsible for overseeing a wide range of investment management services provided to clients. This role specializes in investment operations, planning, and client service. The Investment Operations Associate maintains effective communication with clients and internal stakeholders to provide transparent and regular reporting on investment operations. This role is critical to a memorable client experience and overall efficiency of the practice.

This position is located in the Northwestern Mutual – Edina District Office, located at 3600 Minnesota Dr, Suite 600 Edina, MN 55435.

• Open and track new investment accounts
• Assist clients with service on existing investment account maintenance
• Prepare and process investment/advisory paperwork for implementation
• Manage asset movement, including deposits, withdrawals, transfers, rollovers, Roth conversions, trades etc.
• Track potential rollover opportunities
• Oversee the financial planning software output, (PX/RD Plans), and build client recommendations.
• Prepare and review performance reports in Envestnet, Morningstar and broker dealer software, etc. prior to client meetings
• Participate in client meetings for financial or investment plan implementation when appropriate
• Manage client communication including correspondence, notes, files, and maintain compliant client records
• Keep up to date on software system enhancements, new products & services, and compliance changes/opportunities
• Maintain a high level of professionalism while handling confidential and sensitive information
• Maintains own personal CE credits and certification, knowing when your licenses expire
• Participate in learning opportunities

• Bachelor’s degree preferred
• Licensure:
  Series 7 and 63, or ability to gain licensing within 3-6 months of employment
• 2+ years of experience in the financial services industry, or 1+ years of Northwestern Mutual experience
  
  Client Resource Management experience preferred

• High sense of urgency, attention to detail, and exceptional organizational skills
• Excellent oral and written communication skills
• High degree of initiative and autonomy
• Demonstrates ability to maintain effective working relationships within the firm and its clients

• Base Salary Range: $60,000-$70,000 (depending on qualifications)
• Medical, dental, and vision benefits available
• 401k Match
• Reimbursement for licenses, designations, and continuing education

Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), and Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC. To view detailed disclosures regarding individual representatives, view their information at