Trading Srvcs Cons

go-to resource for Financial Representatives and their clients on the purchase and sale of securities across equities, fixed income, and options.

• Assess client financial needs, risk tolerance, and suitability, combining your market expertise with client profiles to recommend appropriate investments.

• Guide the team and Financial Representatives through complex trading scenarios, including bond ladders, options strategies, executive option exercises, and restricted stock transactions.

• Build credibility and develop lasting client relationships through ongoing assessment of financial needs and timely investment recommendations.

Account Management & Coordination

• Manage the transition and ongoing servicing of advisory and retirement accounts when a local advisor is no longer available, including annual reviews, investment guidance, suitability determinations, and administrative coordination.

• Partner with other ICS departments to facilitate administrative changes, disbursement requests, and account reassignments.

Mentoring & Leadership

• Mentor and train Securities Specialists and new Trading Services team members on trade execution, systems, and best practices.

• Evaluate and resolve complex issues escalated by team members, serving as a credible technical resource across the department.

• Present material to large, diverse groups on complex trading strategies (bond ladders, covered call writing, etc.) and the overall operations of the trading desk.

Projects & Compliance

• Contribute to trading desk projects, including policy development, process improvements, and creating educational communications for the field.

• Serve as a backup to the Assistant Director for trade corrections, outgoing securities correspondence, daily workflow preparation, and customer complaint resolution.

• Maintain full compliance with FINRA, SEC, and MSRB regulations, as well as all internal policies, procedures, and standards.

• Stay current on securities market developments, using fundamental and technical research to support sound, timely investment decisions on behalf of clients.

What You'll Bring

Must-Haves

• Bachelor's degree in business or a related field

• 5+ years of experience in a retail brokerage sales or trading capacity

• Strong knowledge of FINRA and federal/state securities laws and regulations

• FINRA Series 7 and Series 63 licenses (active)

• Excellent written and verbal communication skills, including presentation skills

• Strong attention to detail and ability to manage complex, multi-step processes

Preferred

• Fixed income trading experience (highly valued for this team)

• Project management experience or demonstrated success leading cross-functional initiatives

• Interest in process improvement, workflow optimization, and mentoring others

Licensing We'll Support You In Obtaining

• Series 65 (or IAR registration in Wisconsin) within your first 3 months

• One or more of Series 4, 24, or 53 within your first 6 months

• Study resources and exam support provided

Why Northwestern Mutual

• Fortune 100 company with 165+ years of financial strength

• Collaborative trading desk environment with experienced leadership at the manager and director level

• Clear career paths within Investment Client Services

• Comprehensive benefits, competitive compensation, and investment in your professional development

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:
$89,360.00

Pay Range - End:
$134,040.00

Geographic Specific Pay Structure:

Structure 110:
$98,320.00 USD - $147,480.00 USD

Structure 115:

$102,800.00 USD - $154,200.00 USD

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!

Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.