Investment Operations Associate

$65k - $100k

Full-time

Northwestern Mutual - Twin Cities

Mendota Heights, MN

:
At Baune Financial, we are focused on helping clients discover a clear vision for their future and achieve confidence in their financial lives. Charting a client's course begins by developing a personalized comprehensive financial plan, and a holistic investment approach is a key piece of that plan. In this role, you will have an opportunity to serve, support, and impact the lives of many clients. We are a rapidly growing team, and pursuit of excellence with a focus on continuous learning is vital.
RESPONSIBILITIES
Investment Operations:
Process and handle all day-to-day investment operations functions, beginning with the sales process through implementation. This includes handling deposits for new and existing incoming investment funds, processing trades, tracking asset transfers, and handling asset movement requests.
Monitor and proactively manage the new account set-up process, including selecting the correct forms, entering information needed, obtaining signatures, and following up on outstanding requirements.
Respond to client inquiries for investment account information, services, and charges.
Respond to investment related compliance requirements, alerts, and flags. Manage the investment record keeping practice for the firm. Maintain FINRA state registrations.
Team Support:
Respond to team member inquiries for investment account information.
Collaborate with the Director of Investment Operations and Portfolio Advisor to ensure Investment operations remain compliant and run smoothly.
Participate in regular team meetings and provide investment related details.
Participate and lead projects as assigned.
QUALIFICATIONS - Required
Bachelor's degree with a focus on business, finance, or related field
2 - 5 years of experience with securities, trading, and operations
Series 7 and 63/66
Life and Health license obtained within 3 months of hire
Strong analytical and problem-solving skills with attention to detail, accuracy, and reliability
Strong organizational and time management skills including prioritization and the ability to meet deadlines
Ability to maintain a high degree of confidentiality
Ability to thrive in a fast-paced environment
Interest in earning additional designations to continue to grow
Completion of requirement to become a Northwestern Mutual Associate Wealth Management Advisor within the first 90 days
Completion of annual continuing education to maintain FINRA and company registrations required
Job Type: Full-time
Pay: $65,000.00 - $100,000.00 per year
Schedule:
8 hour shift
Monday to Friday
Work setting:
In-person
Office
Application Question(s):
Willing to complete a background check?
Work Location: In person

Apply

Vacancy posted 12 hours ago

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