Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

Investment Operations Specialist

Northwestern Mutual

Our Investment Operations Specialist will play a critical role supporting one of our top financial advisor teams and providing high-quality advisory services to clients. Working closely with an NMIS Financial Advisor and the Home Office, you will help prospect, prepare, maintain, and service Signature Portfolio advisory accounts. AFAs are trusted contributors who must be licensed, qualified, and accountable - particularly because they support work that directly impacts client relationships and regulatory compliance.

Your "Day in the Life" Support
  • Manage case notes, client correspondence, and client case files; file performance reports, account forms, and other advisory documentation.
  • Maintain the financial representative's calendar, schedule client appointments, and attend follow-ups as needed.
  • Respond to home office account inquiries and coordinate with internal teams.
  • Maintain annual review notes in Envestnet and prepare/mail annual review letters to clients.
  • Monitor and stock marketing and Signature Portfolio program materials.
  • Track industry trends and research to support advisor recommendations.
  • Ensure all NMIS Compliance requirements are implemented and followed.
Proposal & Case Preparation
  • Prospect for potential advisory clients on behalf of the employing financial advisor.
  • Gather and prepare information for advisor meetings with clients and prospects.
  • Prepare advisory annual review materials and planning analyses.
  • Draft and modify investment/advisory proposals, letters of instruction, investment policy statements, needs-based analyses, and financial plans.
  • Recommend fund portfolio options aligned with client objectives and program guidelines.
Processing Accounts
  • Prepare and process all paperwork required to open and maintain investment/advisory accounts.
  • Monitor funding and asset transfers to ensure the selected asset allocation is implemented.
  • Identify when switch letters are required and mail appropriate forms to clients.
  • Discuss potential rollover opportunities from other retirement plans for variable and mutual funds and coordinate next steps.
  • Receive and forward checks and related paperwork to Investment Operations.
  • Process proposal amendments and monitor Envestnet for alerts and upcoming annual reviews.
  • Administer advisory accounts according to program procedures and regulatory requirements.
Advisory Client Meetings
  • Participate in fact-finding meetings and conduct existing advisory client reviews.
  • Complete risk tolerance (personal profile) questionnaires with clients.
  • Recommend and modify proposals and advisory accounts based on client reviews.
  • Support client meetings for financial or investment plan development and present materials as directed by the advisor.
Client Service
  • Correspond with clients to resolve advisory-related service issues and provide technical explanations of investment plans.
  • Contact clients on behalf of the financial advisor to develop advisory plans and explain advisory products or performance.
  • Accept redemptions/withdrawals and communicate client instructions to the home office.
  • Discuss tax consequences, costs, and advisory fees with clients as appropriate.
  • Maintain a daily tickler system for follow-ups and service requirements.
  • Perform cashiering functions and run performance reports in Envestnet, Morningstar, and NMCIR.
Other Responsibilities
  • Support onboarding and ongoing training requirements for advisory programs.
  • Help prepare and deliver marketing materials and presentations when needed.
  • Maintain strict confidentiality and professional conduct at all times.
  • Be willing to learn, adapt to change, and work in a fast-paced environment.
Qualifications
  • Associate Financial Advisor contract required.
  • Series 6 (or Series 7 for certain products) and Series 63 required.
  • Health and Life license required or must be obtained within six months of employment.
  • Must hold one of the following insurance designations: CLU, ChFC, CLTC, or CFP.
  • One to two years of securities experience required; industry experience with investment advice preferred.
  • Completion of home office Signature advisory training required.
  • Financial services or insurance industry experience preferred.
  • Proficiency with Microsoft Office applications and data entry/information retrieval software.
  • Excellent oral and written communication skills, active listening, and the ability to explain complex ideas clearly.
  • Strong attention to detail and ability to deliver work with a high degree of accuracy.
  • Ability to manage multiple projects and assignments in a timely and organized manner.
  • Demonstrated ability to build and maintain effective client relationships.
  • Ability to work independently and collaboratively as part of a team.
  • Commitment to confidentiality, compliance, and professional standards.

If you are a detail-oriented professional with the required licenses and a desire to support client-focused advisory services, this role offers meaningful client exposure and the opportunity to grow within our advisory teams.
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Investment Operations Specialist in New York, NY vacancy
  •  ...Range Investment Operations Role Range is creating AI-powered solutions to eliminate financial complexity for our members. We're transforming...  ...you'll start training Associates on them. The path from Specialist to Lead is measured by how many functions you can teach,... 
    Suggested
    Work at office
    Relocation
    Monday to Friday

    RANGE

    New York, NY
    1 day ago
  • Landing Point in New York is seeking an Investment Operations Associate to support its investment platform across multiple portfolios. You will own daily reconciliation processes, investigate complex exceptions, and collaborate with custodians, fund administrators, and... 
    Suggested

    Landing Point

    New York, NY
    2 days ago
  • Top-Tier Fund in Manhattan is seeking an Investment Management Operations AVP for a full-time position! Responsibilities Play an integral role in servicing our Separately Managed Account (SMA) business, providing the highest quality support relating to new accounts supervision... 
    Suggested
    Full time
    Work at office

    Social Capital Resources

    New York, NY
    3 days ago
  • $65 per hour

    Sr. Investment Operations Specialist ($65/hr) Title: “Investment Operations Senior Specialist” Locations: Austin, TX or Newport Beach, CA or New York, NY Rate: $65/hr Overview: We are seeking a Senior Associate/Specialist to join the Investment Operations (IO) team. Our... 
    Suggested
    Work at office
    Flexible hours
    Shift work

    Merit Personnel & Consulting

    New York, NY
    3 days ago
  • $101.5k - $127k

     ...reconciliation challenges? Do you enjoy investigating data discrepancies, ensuring operational accuracy, and collaborating with customers and cross-functional teams to keep investment operations running smoothly? Are you excited to leverage automation and AI to transform... 
    Suggested
    Daily paid

    Socket.dev

    New York, NY
    2 days ago
  • Fortitude Reinsurance Company Ltd. (Fortitude Re) is a leading specialist in legacy reinsurance solutions, backing a strong group of investors. The Senior Associate, Investment Operations Data, will support the implementation of a new data management platform and ensure... 

    Fortitude Re

    New York, NY
    4 days ago
  •  ...professional to own critical aspects of the trade lifecycle across both private and liquid investments in New York. This role involves overseeing cash management, liquidity operations, and partnering directly with various professionals to ensure seamless deal execution.... 

    Atlantic Group

    New York, NY
    1 day ago
  •  ...from other markets, businesses and functions to provide you with the opportunity to take your career to the next level. As an Investment Specialist on the Global Families Group - United Kingdom, Canada & Caribbean (GFG UKC&C) team in the International Private Bank, you... 
    Work at office

    JP Morgan Chase

    New York, NY
    3 days ago
  • $94.59k - $218.48k

     ...technology.DescriptionNoblis is seeking highly skilled Investment Planning and Analysis Specialists to support the Federal Aviation Administration (FAA)...  ...systems. You will analyze how programs contribute to operational and business outcomes for the FAA and related... 
    Permanent employment
    Full time
    Contract work
    Part time
    For contractors
    Work experience placement
    Work at office
    Local area
    Remote work
    Worldwide
    Shift work

    Noblis

    Atlantic City, NJ
    1 day ago
  • $135k - $203.5k

     ...to learn, grow, and make an impact. Join us!The Market-Linked Investments Structuring & Origination team (“the Team”) is cross-asset structured...  ...and our broader enterprise and mindful of risk in our operating environment is preferredStrong quantitative, analytical and communication... 
    Full time
    Work at office
    Work from home
    Flexible hours
    Day shift

    Bank of America

    New York, NY
    3 days ago
  • $150k - $225k

     ...leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth...  ...Management (“MSIM”), together with its investment advisory affiliates, operates in 26 countries with $1.9 Tn in assets under management or... 
    Temporary work
    Work at office
    Worldwide

    Morgan Stanley

    New York, NY
    1 day ago
  • $140k - $185k

     ...services firm in New York is searching for a Transaction Support Specialist. The successful candidate will assist various teams with...  ...have proficiency in Excel and a keen interest in investment operations. This position comes with an annual compensation ranging from... 

    TEEMA Solutions Group

    New York, NY
    3 days ago
  •  ...Investment Operations Leader At Range, we're building towards a world where anyone can live the financial life they imagine for themselves...  ...generation Lead and develop a team of operations specialists Act as the liaison between Range and all custodians we work... 
    Work at office
    Relocation
    Monday to Friday

    Range

    New York, NY
    2 days ago
  •  ...capital meets talent. We connect fund managers, investors, and operators with high-quality deal flow, analyst support, and...  ...unpaid sourcing. Role Overview Initio Sphere is onboarding Investment Pipeline Specialists to help identify, qualify, and introduce investment opportunities... 
    For contractors

    TEEMA Solutions Group

    New York, NY
    3 days ago
  • $70k - $151k

     ...ideal candidate has over 3 years of experience in financial services, particularly in fund accounting, financial reporting, and operational processes. This role includes daily NAV calculations, maintaining financial records, and preparing financial statements. CrossCountry... 

    CrossCountry Consulting

    New York, NY
    3 days ago
  • $80k - $100k

     ...other products. You will report directly to the Head of Fund Operations and will work with our internal systems, portfolio managers, accounting...  ...of what we do: supporting our professionally managed crypto investment products. You will play a key role in supporting existing and... 
    Full time
    Work at office
    Flexible hours

    Bitwise Asset Management

    New York, NY
    23 hours ago
  • $140k - $185k

     ...– $185,000 total annual compensation (varies by employer) About This Posting This job description represents a sample Investment Origination Specialist position commonly found through the Career Launch AI Talent Network. It is intended to help job seekers understand the... 
    Full time

    TEEMA Solutions Group

    New York, NY
    3 days ago
  •  ...international travel If you know how to operate in rarefied air, this is your arena. I have...  ..., family offices, luxury sectors, or investment advisory Polished, credible and commercially...  ...wealth A long-term career path in a specialist, internationally respected advisory firm... 
    Temporary work
    Worldwide

    Certus Sales Recruitment

    New York, NY
    3 days ago
  • $185k

     ...Talk to You! The Difference You Make: The GTB Leveraged Finance Specialist serves as an SME responsible for the origination of structured...  ...sponsors Promote and develop working relationships with Investment and Sponsor coverage banker teams to provide structuring and product... 
    Hourly pay
    Full time
    Contract work
    Work experience placement
    Work at office
    Shift work

    Santander Consumer USA

    New York, NY
    3 days ago
  •  ...AnInvestment Valuation Specialistis responsible for determining thefair value of private investments, includingprivate equity holdings and private credit loans, using established financial modeling and valuation methodologies. This role supports internal portfolio reporting... 

    Liberty Personnel Services, Inc.

    New York, NY
    3 days ago
  •  ...Morgan Advisors, Personal Advisors and Self-Directed - our digital investing platform. The combined business has ~$600 billion in Assets...  ...and 20 offices.As an Vice President, Investment Product Specialist in J.P. Morgan Wealth Management, you will be expected to present... 
    Work at office
    Remote work
    Flexible hours
    Night shift

    JP Morgan Chase

    New York, NY
    3 days ago
  •  ...DescriptionJob Title: Principal Geneva Operations SpecialistLocations: New York, NY | Boston...  ...seeking a Fund Accounting Operations Specialist to join its Managed Operations team. We...  ...background in financial technology, investment operations, or related discipline. The... 
    Ongoing contract
    Full time
    Work at office
    Shift work

    SS&C Technologies

    New York, NY
    3 days ago
  • $102.13k - $125.96k

     ...will build what comes next: standing up new reconciliation and control infrastructure, leading audit remediation, and scaling our operations to new products and entities. You will own cross-functional projects end to end, partner deeply with Engineering, Product,... 
    Full time
    Work at office
    Local area
    2 days per week
    3 days per week

    Gusto

    New York, NY
    2 days ago
  • We are looking for a detail-oriented and proactive Operations Specialist to support the fixed income trade settlement lifecycle. This junior-level role will involve daily trade processing, reconciliations, and coordination with internal teams and external partners.Key Responsibilities... 

    Snelling

    New York, NY
    1 day ago
  • $125k - $175k

     ...performance across the organization. THE ROLE:We're looking for an eager, detail-oriented professional to join as a Trading Operations Specialist supporting our growing trading desks. Our Operations Specialists are responsible for managing the clearance, settlement, and... 
    Worldwide

    Virtu Financial

    New York, NY
    3 days ago
  • DescriptionWe are looking for a Legal Operations Specialist to strengthen the Legal team in New York, New York by improving the systems, workflows, and reporting that support day-to-day legal operations. This position partners closely with legal, technology, and business... 
    Contract work

    Robert Half

    New York, NY
    1 day ago
  • Company DescriptionMaganti IT Resources LLCJob DescriptionTitle: Programmatic Operations SpecialistLocation: New York, NYType: permanentJob descriptionThe Programmatic Operations Specialist will develop new relationships with DSPs, trading desks, and advertisers to drive... 
    Permanent employment

    Maganti IT Resources

    New York, NY
    3 days ago
  •  ...delivers customized, cross-asset class solutions tailored to the investment management needs of institutional and retail clients. With...  ...for a broad spectrum of investorsJob summary:As an Investment Specialist in the Asset Management Multi-Asset Solutions team, you will support... 

    JP Morgan Chase

    New York, NY
    3 days ago
  • Tredway, based in New York, seeks an Associate to support acquisitions and development across its national pipeline, including LIHTC financing and ground-up work. You will help underwrite, perform due diligence, and interact with sellers, lenders, and housing agencies. ...

    Tredway

    New York, NY
    2 days ago
  •  ...Industrialization initiatives and leads strategic support for sustainable energy and mineral development projects. The Technical Specialist will quantify investment opportunities, assess financing gaps, and engage with regional partners to design scalable investment mechanisms... 

    Unops

    New York, NY
    1 day ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to Investment Operations Specialist. Be the first to apply!