Northwestern Mutual
Believer. Husband. Father. Financial Advisor.More Than Money - A Life Well Planned
River Tree Wealth Investment Operations Associate
Overall Function The Investment Operations Associate acts on behalf of the wealth management team to prepare materials, open investment accounts, and maintain/service those accounts. Specific responsibilities may include but are not limited to:
Investment Support
Maintain Tasks & Opportunities system for account openings, client follow-ups, and service requirements
Process investment related correspondence
Respond to Northwestern Mutual’s home office account inquiries
Ensure NMIS and NMWMC compliance requirements are implemented and followed
Gather information for advisors’ meetings with clients and prospects
Prepare advisory annual review information
Prepare and modify investment/advisory proposals
Prepare letters of instruction for client signature
Monitor daily account activity for quality control
Accounts Processing
Prepare and process all paperwork needed for investment account openings
Communicate with clients regarding account documentation requirements
Process, monitor, and follow up on funding of accounts and all asset movement
Implement initial and subsequent asset allocation trades
Discuss potential rollover opportunities with clients and guide them through rollover calls
Execute buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
Follow up on trade rejects and resolving all trade-related issues
Monitor holdings for program eligibility and administering advisory accounts
Client Service
Correspond with clients to handle investment related service issues
Explain investment products and performance to existing clients
Accept trading instruction from clients and execute trades Run asset allocation modification proposals and perform rebalances
Discuss tax consequences, asset allocation, and fees with clients
Qualifications
Life and Health licensure, or gaining within 90 days of hire
Investment licensure (SIE, Series 7, and Series 63), required or within six months of hire
Experience trading and processing personal securities transactions
Northwestern Mutual Associate Financial Representative contract (upon hire or licensure)
Completion of Northwestern Mutual’s Signature Advisory Training program (upon hire or licensure)
Cultural fit: personality and professionalism align with firm values
Demonstrated ability to maintain effective relationships with clients
Ability to manage multiple projects and diverse assignments in a timely and quality manner
Strong attention to detail with the ability to work with a high degree of accuracy and follow through
Excellent oral, written, and interpersonal communication skills
Ability to embrace change and work in a fast-paced environment
Able to work both independently and in a team
Ability to maintain a high degree of confidentiality
Responsibilities are not necessarily limited to those listed.
About River Tree Wealth Management We are an Ohio-based, leading financial planning firm providing ideas, investments, and insurance personally tailored to affluent families, business owners, and decision makers nationwide. Our team delivers the extensive resources of the Northwestern Mutual Wealth Management Company within the context of a boutique firm. We guide planning with grounded experience, competitive expertise, and credentialed designations earned at the most respected academic institutions in the financial industry.
About Northwestern Mutual Northwestern Mutual has been helping people and businesses achieve financial security for more than 165 years. Through a holistic planning approach, Northwestern Mutual combines the expertise of its financial professionals with a personalized digital experience and industry-leading products to help its clients plan for what’s most important. With more than $560 billion in combined company and client assets, $34 billion in revenues, and $2.1 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to nearly five million people with life, disability income and long‑term care insurance, annuities, and brokerage and advisory services. Northwestern Mutual ranked 97 on the 2022 FORTUNE 500 and was recognized by FORTUNE® as one of the “World’s Most Admired” life insurance companies in 2022. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM), Milwaukee, WI (life and disability insurance, annuities, and life insurance with long‑term care benefits) and its subsidiaries. Subsidiaries include Northwestern Mutual Investment Services, LLC (NMIS) (investment brokerage services), broker‑dealer, registered investment adviser, member FINRA and SIPC; the Northwestern Mutual Wealth Management Company® (NMWMC) (investment advisory and services), federal savings bank; and Northwestern Long Term Care Insurance Company (NLTC) (long‑term care insurance). Not all Northwestern Mutual representatives are advisors. Only those representatives with “Advisor” in their title or who otherwise disclose their status as an advisor of NMWMC are credentialed as NMWMC representatives to provide investment advisory services.
Seniority level Entry level
Employment type Full-time
Job function Management and Manufacturing
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Overall Function The Investment Operations Associate acts on behalf of the wealth management team to prepare materials, open investment accounts, and maintain/service those accounts. Specific responsibilities may include but are not limited to:
Investment Support
Maintain Tasks & Opportunities system for account openings, client follow-ups, and service requirements
Process investment related correspondence
Respond to Northwestern Mutual’s home office account inquiries
Ensure NMIS and NMWMC compliance requirements are implemented and followed
Gather information for advisors’ meetings with clients and prospects
Prepare advisory annual review information
Prepare and modify investment/advisory proposals
Prepare letters of instruction for client signature
Monitor daily account activity for quality control
Accounts Processing
Prepare and process all paperwork needed for investment account openings
Communicate with clients regarding account documentation requirements
Process, monitor, and follow up on funding of accounts and all asset movement
Implement initial and subsequent asset allocation trades
Discuss potential rollover opportunities with clients and guide them through rollover calls
Execute buy or sell orders and rebalancing orders in Envestnet and maintaining asset allocation
Follow up on trade rejects and resolving all trade-related issues
Monitor holdings for program eligibility and administering advisory accounts
Client Service
Correspond with clients to handle investment related service issues
Explain investment products and performance to existing clients
Accept trading instruction from clients and execute trades Run asset allocation modification proposals and perform rebalances
Discuss tax consequences, asset allocation, and fees with clients
Qualifications
Life and Health licensure, or gaining within 90 days of hire
Investment licensure (SIE, Series 7, and Series 63), required or within six months of hire
Experience trading and processing personal securities transactions
Northwestern Mutual Associate Financial Representative contract (upon hire or licensure)
Completion of Northwestern Mutual’s Signature Advisory Training program (upon hire or licensure)
Cultural fit: personality and professionalism align with firm values
Demonstrated ability to maintain effective relationships with clients
Ability to manage multiple projects and diverse assignments in a timely and quality manner
Strong attention to detail with the ability to work with a high degree of accuracy and follow through
Excellent oral, written, and interpersonal communication skills
Ability to embrace change and work in a fast-paced environment
Able to work both independently and in a team
Ability to maintain a high degree of confidentiality
Responsibilities are not necessarily limited to those listed.
About River Tree Wealth Management We are an Ohio-based, leading financial planning firm providing ideas, investments, and insurance personally tailored to affluent families, business owners, and decision makers nationwide. Our team delivers the extensive resources of the Northwestern Mutual Wealth Management Company within the context of a boutique firm. We guide planning with grounded experience, competitive expertise, and credentialed designations earned at the most respected academic institutions in the financial industry.
About Northwestern Mutual Northwestern Mutual has been helping people and businesses achieve financial security for more than 165 years. Through a holistic planning approach, Northwestern Mutual combines the expertise of its financial professionals with a personalized digital experience and industry-leading products to help its clients plan for what’s most important. With more than $560 billion in combined company and client assets, $34 billion in revenues, and $2.1 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to nearly five million people with life, disability income and long‑term care insurance, annuities, and brokerage and advisory services. Northwestern Mutual ranked 97 on the 2022 FORTUNE 500 and was recognized by FORTUNE® as one of the “World’s Most Admired” life insurance companies in 2022. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM), Milwaukee, WI (life and disability insurance, annuities, and life insurance with long‑term care benefits) and its subsidiaries. Subsidiaries include Northwestern Mutual Investment Services, LLC (NMIS) (investment brokerage services), broker‑dealer, registered investment adviser, member FINRA and SIPC; the Northwestern Mutual Wealth Management Company® (NMWMC) (investment advisory and services), federal savings bank; and Northwestern Long Term Care Insurance Company (NLTC) (long‑term care insurance). Not all Northwestern Mutual representatives are advisors. Only those representatives with “Advisor” in their title or who otherwise disclose their status as an advisor of NMWMC are credentialed as NMWMC representatives to provide investment advisory services.
Seniority level Entry level
Employment type Full-time
Job function Management and Manufacturing
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