Investment Specialist

Job Description

Job Description

Salary: $65,000 - $75,000 DOE

Our team is seeking an ambitious individual who thrives in a fast-paced, team-focused work environment to join us as an Investment Specialist. This role serves as a primary link between internal departments, our corporate home office, and the clients we serve. Successful completion of responsibilities in this role enables the team to focus on revenue-generating activities while fostering and maintaining impactful, enduring client relationships.

Specific responsibilities may include but are not limited to:

INVESTMENT OPERATIONS

• Provide business operations and administrative support to a team of financial advisors and support staff
• Open and track new investment accounts and prepare onboarding paperwork
• Rollovers
• Asset transfers
• ACH/SRS maintenance
• Check processing
• Process deposits, redemptions, and withdrawals
• Required Minimum Distributions (RMDs)
• Track money movement including rollovers and transfers
• Place trades, log checks and orders, and process ACH and wire transactions
• Account maintenance across advisory, brokerage, annuities, SMAs, and Private Client Services
• Monitor and optimize client portfolio expenses, including aggregated pricing
• Maintain accurate and up-to-date client documentation throughout the lifecycle
• Maintain compliant electronic client files, compliance files, and transaction logs

CASE PREP SUPPORT

• Prepare or collaborate to develop integrated pre-sale packages for Financial Representatives
• Compile meeting kits for client meetings and reviews
  

PERFORMANCE SKILLS

• High sense of urgency with strong attention to detail and organizational skills
• Track activities through CRM systems
• Strong analytical and problem-solving skills for resolving complex issues
• Self-motivated with a high level of initiative and autonomy with the ability to follow through in a timely manner
• Team-oriented with a collaborative mindset
  

QUALIFICATIONS

• Bachelors degree
• Life, Accident, Health & Long-Term Care licensed (or able to obtain within 90 days)
• FINRA Series SIE, 6, and 63 (or able to obtain within 90 days)
• FINRA Series 7 (or able to obtain within 6 months)
• Financial services or insurance experience preferred
• Experience in administrative support or customer service
• Excellent written and verbal communication skills
• Ability to work independently with minimal supervision
• Proficiency with Microsoft Office and data entry
• Strong organizational and time-management skills
• High level of accuracy and attention to detail
• Proactive mindset and ability to anticipate needs
• Commitment to delivering exceptional client experience

BENEFITS

• Health insurance
• Dental insurance
• Group Long-term disability income plan
• Group Life Insurance
• 401(k) with match (after 6 months of employment)
• Paid holidays and paid personal time off
• Starting salary: $65,000 - $75,000 DOE

Clark Wealth Management & Insurance Services is a marketing name for doing business as representatives of Northwestern Mutual. Clark Wealth Management & Insurance Services is not a registered investment adviser, broker-dealer, insurance agency or federal savings bank. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries in Milwaukee, WI. To view detailed disclosures regarding individual representatives, view their information at