Top 6 Mutual Funds Associate Jobs

Investment Associate
Northwestern Mutual —Dallas, TX
- $60,000 - $70,000 a year
- Full-time
- Background check
- Mid-level
- Office
- Health savings account
- Health insurance
Quick Apply
Investment Operations Associate
Northwestern Mutual —Chesterfield, MO
- $60,000 - $70,000 a year
- Full-time
- Background check
- Research
- Mid-level
- Paid holidays
- Health insurance
Quick Apply
14d
Investment Operations Associate
Northwestern Mutual Portland —San Diego, CA
- $65,000 - $75,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Mid-level
- Disability insurance
- Paid time off
Quick Apply
4d

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Investment Associate

Northwestern Mutual -
Dallas, TX

Quick Apply

Job Details

Full-time
$60,000 - $70,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Tuition reimbursement
Paid time off
Parental leave
Employee assistance program
Vision insurance
401(k) matching
Employee discount
Professional development assistance
Flexible schedule
Life insurance
Referral program
Retirement plan

Qualifications

Series 7
Life & Health Insurance License
Series 63

Full Job Description

OVERALL FUNCTION

The Investment Associate specializes in planning and investment client service and supporting assigned financial representatives as they focus on implementing investment solutions for their clients. This individual is a liaison between the representative and the home office as well as between the representative and his/her clients. The role is best-suited for individuals seeking a stable work environment with a passion for personal growth through helping others achieve their financial goals. Specific responsibilities may include but are not limited to:

GENERAL SUPPORT

Support designated financial representatives in opening new client accounts and servicing existing client requests

Handle case notes, process correspondence and maintain all client case files assigned

Ensure that all new files, statements, account forms and other insurance/investment-related materials are filed and documented in the appropriate secure location

Protect the confidentiality and privacy of all client information

Answer incoming client phone calls as they pertain to investment service as assigned by financial representatives

Contact clients to confirm receipt of forms or request return of completed forms and maintain current client information

Monitor Daily Status Report (DSR) and expedite any outstanding underwriting requirements

Communicate with the home office to supply or obtain information on behalf of clients and financial representatives

Monitor and maintain deadlines in accordance with account opening requirements and any other associated staff responsibilities

CLIENT SERVICE SUPPORT | Variable Insurance/Annuity & Investments

Complete account opening and service requests in a timely manner as directed by supervisor and assigned financial representatives

Gather information for registered representative’s meeting with clients/prospects (prospectuses, annual reports, Morningstar reports) and enter data into planning software (non-asset allocation components only)

Prepare account summaries for variable and securities owners

Review variable insurance/annuity applications, conversions and policy changes for completeness and accuracy and return to registered representative (RR) if missing information

Review NMIS forms for completeness and return to RR if missing information

Monitor Items for Attention (IFA) and bring any action items to the RR’s attention

Complete order tickets and new account forms based on information obtained by RR

Identify need for switch letters and discuss with RR

At RR’s direction, initiate fund/NMIS transfers, exchanges and redemption requests

Receive and forward checks and related paperwork to the network and home office investment operation areas

Work with network office, NMIS and fund families to resolve client account issues

As necessary, consult with new financial representatives on client requests such as account structure, investment transactions, etc.

QUALIFICATIONS

FINRA registration required – must have Series 7 and Series 63 license

Life & Health License STRONGLY preferred – mandatory licensure within 30 business days of hire

Experience in administrative support or customer service, preferably in the financial services and/or insurance industry

Excellent oral and written communication skills

Familiarity with Microsoft applications, data entry and information retrieval software

Demonstrated organizational and time management skills and ability to multitask, set priorities and meet deadlines

Strong attention to detail with the ability to work with a high degree of accuracy quickly

Ability to proactively identify what needs to be accomplished and take action as appropriate

Has interest in learning on a continuous basis

Associate Agent Contract required

Ability to embrace change and work in a fast-paced environment

Ability to work both independently and in a team

Ability to maintain confidentiality

Job Type: Full-time

Pay: $60,000.00 - $70,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Employee assistance program
Employee discount
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Parental leave
Professional development assistance
Referral program
Retirement plan
Tuition reimbursement
Vision insurance

License/Certification:

Series 7 and Series 63 license (Required)

Work Location: In person

Quick Apply

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Mutual Funds Associate jobs

Investment Associate

Investment Operations Associate

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