Trading Srvcs Sr Spec (S7/63) - Hybrid

opriate investments; recommend investments based on information gathered.**

• Establish credibility and build relationships to continuously assess client needs and make recommendations.

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

Trading & Operations

• Execute equity, fixed income (debt), and options transactions on behalf of Financial Representatives; ensure accurate processing and compliance with securities industry laws and regulations.

• Review, process, and provide guidance to Financial Representatives on securities‑backed lines of credit (SBLOC), margin and options feature additions, worthless security removals, and corporate actions.

Compliance

• Operate within all ethical and regulatory requirements of FINRA, the SEC, and the MSRB; adhere to SIPC membership requirements.

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

Qualifications

Education & Experience

• Bachelor's degree in business or a business‑related field.

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

Licenses

• Active FINRA Series 7 and Series 63 required.

Skills

• Excellent written and oral communication skills.

• Demonstrated ability to pay close attention to detail.

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

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

Compensation Range:

Pay Range - Start:
$57,260.00

Pay Range - End:
$106,340.00

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

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.

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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.