Mgr Investment Client Srvcs (S7/S24)

Summary:
The Manager – Asset Movement is responsible for overseeing and optimizing all operational processes related to asset transfers, disbursements, and account maintenance. This role ensures compliance with regulatory requirements while driving efficiency and delivering exceptional service to clients and field partners. As a strategic leader, you will manage a high-performing team, lead process improvements, and collaborate across departments to enhance the client experience and support organizational growth.
 

About Northwestern Mutual

Northwestern Mutual has been helping people achieve financial security for over 160 years. As a leading financial services company, we provide personalized planning and investment solutions to help clients reach their goals. Our culture emphasizes integrity, collaboration, and innovation, empowering employees to make an impact while growing their careers. We consistently rank among the most admired companies in the industry and are committed to diversity, inclusion, and professional development.
 

Primary Duties and Responsibilities

• Lead and Develop Team:
  Manage the Asset Movement team, focusing on employee development, mentoring, and performance management. Ensure clarity of roles, responsibilities, and success measures.

• Operational Oversight:
  Oversee daily asset movement operations, including transfers, disbursements, and account maintenance. Ensure compliance with regulatory requirements and internal policies.

• Service Excellence:
  Deliver high-quality, cost-effective service by managing staffing, budgets, and operational plans. Monitor service levels, conduct quality reviews, and implement process improvements.

• Issue Resolution:
  Handle escalated cases related to asset transfers, operational processes, and system issues. Collaborate across internal teams, external vendors, and field offices to resolve complex problems.

• Compliance & Risk Management:
  Maintain supervisory integrity for asset movement activities. Ensure adherence to fiduciary responsibilities, regulatory standards, and company procedures.

• Project Leadership:
  Act as project owner or SME for initiatives impacting asset movement. Manage projects from concept to completion, ensuring scope, timelines, and compliance requirements are met.

• Change Management:
  Drive operational and technology enhancements to improve efficiency and client experience. Communicate effectively across business units and lead change initiatives.

• Strategic Contribution:
  Identify opportunities to reduce unit costs and enhance client satisfaction through process improvements and system enhancements.

• Talent Development:
  Support succession planning by identifying and developing future leaders within the team.

• Industry Awareness:
  Stay informed on industry trends and regulatory changes impacting asset movement operations.

Qualifications

• Bachelor’s degree in business, operations management, or related field (or equivalent experience).
• Minimum 7 years of experience in financial services operations, including designing and implementing procedures.
• At least 2 years in a leadership role managing operational teams.
• Strong technical knowledge of asset movement processes and financial products.
• Proven ability to manage projects, lead teams, and adapt to changing business needs.
• Excellent decision-making, communication, and conflict resolution skills.
• Ability to thrive in a fast-paced, dynamic environment.
• FINRA Series 7 and 24 required.