Trading Srvcs Sr. Spec - Hybrid

About This Role

Join the General Trading team within Northwestern Mutual's Investment Client Services division as a Senior Trading Specialist. In this hybrid role based in Franklin, WI, you'll advise clients and Financial Representatives on securities transactions across equities, fixed income, and options, while ensuring every trade is executed accurately and in full compliance. This hands‑on desk role allows you to use your market knowledge and client instincts to directly impact the investment experience for NM clients.

If you bring experience with alternative investments, that is a strong plus.

• Serve as a trusted resource for Financial Representatives and their clients on the purchase and sale of equities, fixed income, and options. Assess client financial needs, risk tolerance, and suitability by combining market expertise with client profiles and portfolio analysis to recommend appropriate investments.
• Execute equity, fixed income, and options transactions on behalf of Financial Representatives, ensuring accuracy and full regulatory compliance.
• Build credibility and develop lasting client relationships through ongoing assessment of financial needs and timely investment recommendations.
• Stay current on securities market developments, using fundamental and technical research to support sound, timely investment decisions.
• Educate clients on appropriate investment strategies based on market trends and individual financial profiles.
• Maintain full compliance with FINRA, SEC, and MSRB regulations and adhere to all internal trading policies, procedures, and standards.

• Bachelor's degree in business or a related field.
• 3–5 years of experience in a retail brokerage sales or trading capacity.
• Strong knowledge of FINRA and federal/state securities laws and regulations.
• Active FINRA Series7 and Series
  63 licenses.
• Excellent written and verbal communication skills and strong attention to detail.
• Preferred: alternative investment experience and portfolio analysis experience.
• Interest in client education and relationship building.
• Registered Representative under NMIS guidelines and fingerprinting required.

• Co‑collaborative trading desk environment with experienced leadership.
• Clear career paths within Investment Client Services.
• Comprehensive benefits, competitive compensation, and investment in your professional development.

Pay Range – Start: $65,440.00, End: $98,160.00. Geographic Specific Pay Structure applies for certain locations.

Northwestern Mutual is an equal opportunity employer that welcomes and encourages diversity in the workforce. 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.