Investment Operations Associate

Northwestern Mutual of Alabama is seeking a detail-oriented, service-driven Investment Operations Associate. This role serves as a key operational partner to our Registered Representatives, ensuring the accurate and timely processing of investment-related transactions and account maintenance activities.

The Investment Operations Associate will be primarily responsible for opening new investment accounts, processing deposits and withdrawals, maintaining account records, and executing trades based on the direction of Registered Representatives. The ideal candidate is highly organized, thrives in a fast-paced environment, and possesses a strong commitment to operational excellence and service.

Individuals who are not currently securities licensed will be expected to obtain their SIE, Series 6 or Series 7, and Series 63 within one year of employment, with licensing support and compensation provided by the firm.

• Facilitate new brokerage and advisory account openings
• Process account transfers, deposits, withdrawals, and other money movement requests.
• Execute trades and investment transactions as directed by Registered Representatives.
• Maintain account information, beneficiary designations, banking instructions, and other client records.
• Process account updates and service requests in a timely and accurate manner.
• Monitor pending transactions and follow through to completion.
• Serve as the primary operational resource for Registered Representatives across Alabama.
• Coordinate with Northwestern Mutual home office teams and custodial partners to resolve operational issues.
• Support meeting preparation by gathering account and client information as needed
• Maintain complete and accurate electronic client files.
• Document processing history and maintain detailed records of client and advisor requests.
• Assist with regulatory audits, compliance reviews, and operational reporting.

• Consistently accurate and timely processing of advisor requests.
• Strong advisor satisfaction and trust in operational support for Registered Representatives.
• Reduced cycle times across investment workflows
• Proactive identification and resolution of issues

• Strong organizational skills and attention to detail.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities in a deadline-driven environment.
• Proficiency with Microsoft Office Suite and financial technology platforms.
• Ability to work collaboratively within a team environment.

• Associate's or Bachelor's degree
• Previous experience in investment operations, financial services, banking, brokerage, or wealth management.
• Experience processing investment account paperwork and transactions.
• Understanding of brokerage and advisory account structures.
• Experience working with financial advisors or Registered Representatives.

Northwestern Mutual of Alabama is committed to the growth and development of its team members.

• Candidates who are not currently registered will be expected to obtain the appropriate FINRA registrations (SIE, Series 6 or 7, and Series 63) within their first year of employment.

• Licensing examination costs, study resources, and support will be provided by the firm.
• Successful completion of required registrations may result in additional compensation and expanded responsibilities.

• Competitive base salary based on experience and qualifications
• Licensing and professional development support
• Retirement and benefits package
• Paid time off and holidays
• Career advancement opportunities within the firm