Trading Srvcs Sr. Spec - Hybrid

About This Role
 

Join the General Trading team within Northwestern Mutual's Investment Client Services division as a Senior Trading Specialist. In this hybrid role based in Franklin, WI, you'll advise clients and Financial Representatives on securities transactions across equities, fixed income, and options, while ensuring every trade is executed accurately and in full compliance.

This is a hands-on trading desk role where your market knowledge, client instincts, and attention to detail directly impact the investment experience for NM clients. If you bring experience with alternative investments, that's a strong plus for this team. You'll join a collaborative desk at a Fortune 100 company with 165+ years of financial strength, clear career paths, and experienced leadership.
 

What You'll Do

Advisory & Trade Execution

• Serve as a trusted resource for Financial Representatives and their clients on the purchase and sale of equities, fixed income, and options.
• Assess client financial needs, risk tolerance, and suitability by combining your market expertise with client profiles and portfolio analysis to recommend appropriate investments.
• Execute equity, fixed income, and options transactions on behalf of Financial Representatives, ensuring accuracy and full regulatory compliance.
• Build credibility and develop lasting client relationships through ongoing assessment of financial needs and timely investment recommendations.

Market Intelligence

• Stay current on securities market developments, using fundamental and technical research to support sound, timely investment decisions on behalf of Northwestern Mutual clients.
• Educate clients on appropriate investment strategies based on market trends and individual financial profiles.

Compliance & Standards

• Maintain full compliance with FINRA, SEC, and MSRB regulations.
• Adhere to all internal trading policies, procedures, and standards.

What You'll Bring

Must-Haves

• Bachelor's degree in business or a related field
• 3–5 years of experience in a retail brokerage sales or trading capacity
• Strong knowledge of FINRA and federal/state securities laws and regulations
• FINRA Series 7 and Series 63 licenses (active)
• Excellent written and verbal communication skills
• Strong attention to detail

Preferred

• Alternative investment experience (highly valued for this team)
• Portfolio analysis experience
• Interest in client education and relationship building

Why Northwestern Mutual

• Fortune 100 company with 165+ years of financial strength
• Collaborative trading desk environment with experienced leadership at the manager and director level
• Clear career paths within Investment Client Services
• Comprehensive benefits, competitive compensation, and investment in your professional development