Asst Dir Investment Client Srvcs Ops (S7/S24) - New Accounts, Maintenance, and Transfers- (Hybrid)

Summary:
Provide leadership and oversight of Investment Client Services operations, ensuring delivery of high-quality service in a cost-effective manner to consistently meet service level goals. Manages teams through recruitment, selection, training, development, motivation, and salary administration of staff.

Primary Duties & Responsibilities:

• Team Management: Oversee the development and management of team leaders, including identifying staffing needs, providing mentorship, and conducting performance evaluations.
• Consultative Service Strategy: Lead the consultative service strategy for both Field and Client services.
• Communication: Clearly communicate objectives, roles, tasks, milestones, and success metrics.
• Innovation and Compliance: Drive innovation, scalability, and efficiency while ensuring adherence to regulatory requirements and guidelines.
• Regulatory Navigation: Translate regulatory and program changes into actionable steps, ensuring compliance and minimizing operational disruptions.
• Operational Efficiency: Manage operating plans, staff, budgets, and unit costs to deliver high-quality service in a cost-effective manner, consistently meeting service level goals.
• Issue Resolution: Address complex escalated issues related to staff, cases, processes, and systems from both home office and field operations.
• Collaboration: Work with internal customers, external vendors, and cross-departmental teams to drive improvements and resolve issues. Main internal customers include Wealth, Compliance, Supervision, and Product teams.
• Industry Expertise: Apply deep industry knowledge, including expertise in securities trading, regulatory frameworks, and trading systems.
• Change Management: Lead organizational change management efforts, interfacing with business clients, field teams, strategic vendors, and business system teams.
• Technology Integration: Ensure seamless integration of platform and technology changes into existing operations, optimizing efficiency and alignment with business goals.
• Communication and Decision-Making: Communicate effectively at various levels, manage salary administration, resolve conflicts, and make independent quality decisions.
• Field Productivity: Enhance field productivity and customer asset retention by recommending product or system enhancements and identifying operational efficiencies.
• Succession Planning: Assist senior management with succession planning by identifying future leaders and developing team members to their highest potential.
• Industry Awareness: Stay informed about industry developments and proactively communicate necessary information to internal teams and network offices.
• Additional Responsibilities: Perform other duties as assigned.

Qualifications:

• Education: Bachelor's degree in Business, Investment Operations Management, or equivalent experience.
• Experience: Minimum of five years of related investment experience, including in-depth knowledge and implementation of investment operational procedures and policies.
• Leadership: At least four years in an investment operational management leadership role, demonstrating strong management, human relations, and interpersonal skills.
• Technical Knowledge: Proficiency in the operational aspects of financial services and products, with preferred experience in brokerage and advisory trading. Experience with Pershing and Envestnet is a plus.
• Business Acumen: Ability to apply knowledge across complex business areas, manage projects and teams, and learn new business concepts and procedures.
• Adaptability: Proven ability to respond to changing business needs, manage multiple assignments, and handle ambiguity.
• Customer Focus: Experience working with internal and external customers to meet or exceed expectations.
• Regulatory Requirements: Requires FINRA Series 7 and 24 certifications.
• Strategic Insight: Ability to synthesize field and customer feedback, industry trends, and competitor products to inform service evolution.
• Performance Under Pressure: Capacity to deliver proactively in a dynamic, multi-tasking, fast-paced environment.
• Forward-Thinking: Demonstrated ability to anticipate future business trends and consequences.

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

Compensation Range:

$102,060.00

Pay Range - End:

$189,540.00

210 - Structure 110: 112,280.00 USD - 208,520.00 USD

210 - Structure 115: 117,390.00 USD - 218,010.00 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.