Trading Srvcs Cons

About This RoleJoin the General Trading team within Northwestern Mutual's Investment Client Services division, where you'll serve as a trusted advisor to clients and Financial Representatives on securities transactions across equities, fixed income, and options. This hybrid role puts you at the center of NM's brokerage trading operations, executing complex trades, mentoring teammates, and staying ahead of market trends.If you bring strong fixed income trading experience and a passion for guiding clients through sophisticated investment strategies, this is your opportunity to make an impact at a Fortune 100 company with a 165+ year legacy. You'll work alongside experienced professionals on a collaborative trading desk that values market knowledge, compliance excellence, and client relationships.What You'll DoAdvisory & Trade ExecutionServe as a go-to resource for Financial Representatives and their clients on the purchase and sale of securities across equities, fixed income, and options.Assess client financial needs, risk tolerance, and suitability, combining your market expertise with client profiles to recommend appropriate investments.Guide the team and Financial Representatives through complex trading scenarios, including bond ladders, options strategies, executive option exercises, and restricted stock transactions.Build credibility and develop lasting client relationships through ongoing assessment of financial needs and timely investment recommendations.Account Management & CoordinationManage the transition and ongoing servicing of advisory and retirement accounts when a local advisor is no longer available, including annual reviews, investment guidance, suitability determinations, and administrative coordination.Partner with other ICS departments to facilitate administrative changes, disbursement requests, and account reassignments.Mentoring & LeadershipMentor and train Securities Specialists and new Trading Services team members on trade execution, systems, and best practices.Evaluate and resolve complex issues escalated by team members, serving as a credible technical resource across the department.Present material to large, diverse groups on complex trading strategies (bond ladders, covered call writing, etc.) and the overall operations of the trading desk.Projects & ComplianceContribute to trading desk projects, including policy development, process improvements, and creating educational communications for the field.Serve as a backup to the Assistant Director for trade corrections, outgoing securities correspondence, daily workflow preparation, and customer complaint resolution.Maintain full compliance with FINRA, SEC, and MSRB regulations, as well as all internal policies, procedures, and standards.Stay current on securities market developments, using fundamental and technical research to support sound, timely investment decisions on behalf of clients.What You'll BringMust-HavesBachelor's degree in business or a related field5+ years of experience in a retail brokerage sales or trading capacityStrong knowledge of FINRA and federal/state securities laws and regulationsFINRA Series 7 and Series 63 licenses (active)Excellent written and verbal communication skills, including presentation skillsStrong attention to detail and ability to manage complex, multi-step processesPreferredFixed income trading experience (highly valued for this team)Project management experience or demonstrated success leading cross-functional initiativesInterest in process improvement, workflow optimization, and mentoring othersLicensing We'll Support You In ObtainingSeries 65 (or IAR registration in Wisconsin) within your first 3 monthsOne or more of Series 4, 24, or 53 within your first 6 monthsStudy resources and exam support providedWhy Northwestern MutualFortune 100 company with 165+ years of financial strengthCollaborative trading desk environment with experienced leadership at the manager and director levelClear career paths within Investment Client ServicesComprehensive benefits, competitive compensation, and investment in your professional developmentThis position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 63 - FINRA, Series 7 - FINRA, SIE - FINRACompensation RangePay Range - Start:$89,360.00Pay Range - End$134,040.00Structure 110Geographic Specific Pay Structure:$98,320.00 USD - $147,480.00 USDStructure 115$102,800.00 USD - $154,200.00 USDWe 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.SkillsCustomer Centricity (NM) - Advanced, Field Consulting (NM) - Advanced, Technical Problem Solving (NM) - Intermediate, Change Adaptability (NM) - Advanced, Cross Functional Partnering & Planning (NM) - Advanced, Financial Services Industry Acumen (NM) - Advanced, Industry Knowledge (NM) - Advanced, Investment Products (NM) - Advanced, Organizational & Political Savvy (NM) - Intermediate, Financial Securities (NM) - Advanced, Process Improvement (NM) - Advanced, Analytical Thinking (NM) - Advanced, Compliance (NM) - Advanced, Policy Inquiries & Complaints Management (NM) - Intermediate, Policy & Procedure (NM) - Intermediate, Audits (NM) - Advanced, Organization (NM) - Advanced, Root Cause Analysis & Decision Quality (NM) - Advanced, Prioritization (NM) - Advanced, Customer Support (NM) - Advanced, Strategic Thinking (NM) - Intermediate, Attention to Detail (NM) - Advanced, Consulting (NM) - Advanced, Business Acumen (NM) - Advanced, Adaptive Communication (NM) - Advanced, Storytelling through Data (NM) - Advanced, Investment Management Systems (NM) - Advanced, Statutes & Regulation (NM) - Advanced, Tax Awareness (NM) - Intermediate, Customer Service Mindset (NM) - AdvancedFIND YOUR FUTUREWe’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.Flexible work schedulesConcierge serviceComprehensive benefitsEmployee resource groups