General Securities Trader

information gathered.

• Provide guidance on various Fixed Income solutions to Registered Financial Representatives as well as create and deliver Bond Ladders upon request.

• Establishes credibility and develops relationships with Registered Financial Representatives and their customers to continuously assess their financial needs and make recommendations.

• Deliver guidance, direction, education, and assistance in setting up various asset backed lending solutions based on client's needs.

• Keeps informed of developments in the securities market using fundamental and/or technical research to arrive at sound and timely investment decisions on behalf of Northwestern Mutual clients.

• Offer Registered Financial Representatives security guidance and research reports upon request using third party research.

• Ensure accurate processing in executing equity, debt and option transactions on behalf of the Financial Representatives; ensure all trades maintain compliance with securities industry laws and regulations.

• Provide counsel, guidance, and assistance to Registered Financial Representatives in the establishing option and margin features on client's accounts.

• Operate within all ethical and regulatory requirements of the FINRA, SEC, MSRB and SIPC regulations.

• Maintain compliance with all NMIS Trading Services policies, procedures and standards.

• Work closely with Registered Financial Representatives regarding control or restricted stock.

• Prepare analysis and reports to Registered Financial Representatives and their clients regarding employee stock options.

Qualifications:

• Bachelor's degree in business or business-related fields.

• Broad professional knowledge of the investment/retail brokerage industry and a variety of securities products gained through a minimum of 3 to 5 years in a retail brokerage sales capacity.

• Thorough knowledge of FINRA, SEC, MSRB and federal/state laws and regulations related to securities processing.

• Excellent written and oral communication skills.

• Demonstrated ability to pay close attention to detail.

• NASD series 7 and 63 securities licenses.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:
Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:

$53,760.00

Pay Range - End:

$99,840.00

Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.

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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.