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Investment Associate

Northwestern Mutual
Baxter, USA
Full-time
Mid
Onsite
Discovered Today
excel

Full Job Posting

Responsibilities include but are not limited to

  • Investment strategy & portfolio management
  • Implement and uphold Cowell Financial’s planning and wealth management philosophies across client accounts
  • Participate actively in investment committee meetings and help translate committee decisions into client actions
  • Perform asset allocation, asset location, and time-weighted asset allocation analysis
  • Implement proactive rebalancing, tax-loss/gain harvesting, Roth conversions, charitable giving strategies, and strategic distribution planning
  • Prepare and execute retirement distribution plans, RMDs, cash reserve strategies, and other retirement-focused initiatives
  • Expense management & product oversight
  • Monitor share classes (A, B, C, institutional), annuities, advisory pricing, LOI/breakpoints and CDSC
  • Maintain awareness of and optimize expenses across client portfolios, including whole-family aggregated advisory pricing and SIMPLE IRA breakpoints
  • Maintain entity tax-type and SIMPLE IRA eligibility requirements
  • Retirement & qualified plan support
  • Provide general 401(k) allocation observations per service models and client need
  • Assist with in-service distributions, reminders for automatic rebalancing of employer plans, and coordination with TPAs
  • Maintain up-to-date Plan Highlights documentation and ensure retirement account deposits ahead of tax filing deadlines
  • Trading & investment operations
  • Complete onboarding paperwork, send documents for electronic signature, facilitate rollovers and transfers, place trades, log checks/orders, execute ACHs and wires, and manage account operational tasks across advisory, brokerage, variable annuities, SMAs and Private Client Services
  • Monitor annual advisory account review requirements, items for attention/alerts and other operational exceptions
  • Client service, compliance & communication
  • Analyze client financial situations and portfolios to develop and implement comprehensive recommendations aligned with client goals
  • Emphasize confidentiality, compliance and exceptional client service in all interactions
  • Work independently and collaboratively, delegate where appropriate, and manage multiple complex assignments efficiently and accurately
  • Research, learning & industry engagement
  • Maintain up-to-date investment industry and Northwestern Mutual knowledge
  • Participate actively in firm learning opportunities: meetings, schools, conferences, webinars and professional designation programs

Qualifications

  • Bachelor’s degree
  • SIE, Series 7, Series 63 licensed, or equivalent
  • CFA designation or desire to acquire
  • Strong proficiency with Microsoft Excel, Outlook and Word
  • Excellent quantitative skills (time value of money, financial calculator, portfolio analytics)
  • Strong analytic, research, critical thinking and problem-solving abilities
  • Exceptional attention to detail, organizational skills and the ability to manage competing priorities to deadlines
  • Effective active listening and communication skills
  • Commitment to client-first ethics, confidentiality and compliance
  • Passion for investments and a demonstrated thirst for ongoing professional development

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