Investment Operations Associate

Cusimano Financial Group Wealth Management & Insurance Solutions at Northwestern Mutual Orange County, isa wealth management firm that brings investments, insurance planning, and overall financial planning together into one coordinated strategy for our clients. We are seeking an Investment Operations Associate to provide comprehensive investment operational support for our advisors and team. This individual will help build, implement, and champion efficient operational processes while partnering with the Filed Supervisor and Home Office to ensure processes remain compliant and aligned with firm standards. Specific responsibilities may include but will not be limited to: New account paperwork completion and submission for processing Investments trading Account transfer procedures: process service requests including funds disbursements, account transfers Investment systems functionality (e.g., NetX360) Conduct 401(k) rollover calls with clients and provide clear guidance throughout the rollover process Reporting Identifies and recommends process improvements in the investment operations to enhance productivity and efficiency Primary contact for all trade corrections Qualifications It is recommended that the Investment Operations Associate have the following qualifications: Required: Series 7, 6 & 63 Experience: 2 -3 years of securities industry experience preferred; finance or related experience will be considered, or Degree in Finance, Computer Science or Business Previous Northwestern Mutual experience Strong organizational and time management skills with ability to set priorities and meet deadlines Ability to build rapport and exercise resourcefulness and understanding Ability to operate efficiently, accurately, and to adapt to changing environment Someone who operates well in a fast-paced environment Excellent oral and written communication skills with the ability to collaborate effectively with others Excellent analytical and problem-solving skills High attention to detail Full Benefits (Health insurance, 401k, Paid Time Off) #J-18808-Ljbffr Northwestern Mutual Group