Trading Srvcs Cons

About This Role

Join 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 Do

Advisory & Trade Execution

• Serve 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 & Coordination

• Manage 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 & Leadership

• Mentor 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 & Compliance

• Contribute 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 Bring

Must-Haves

• Bachelor's degree in business or a related field
• 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, including presentation skills
• Strong attention to detail and ability to manage complex, multi-step processes

Preferred

• Fixed income trading experience (highly valued for this team)
• Project management experience or demonstrated success leading cross-functional initiatives
• Interest in process improvement, workflow optimization, and mentoring others

Licensing We'll Support You In Obtaining

• Series 65 (or IAR registration in Wisconsin) within your first 3 months
• One or more of Series 4, 24, or 53 within your first 6 months
• Study resources and exam support provided

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