Working in Witness for Christ

Investment Operations Associate (30 views)

Los Angeles, CA
August 27, 2019

Northwestern Mutual Los Angeles is a Fortune 100 Company with expertise in helping clients achieve financial security. As the organization continues to be one of the fastest growing offices within the enterprise, we are seeking a motivated Investment Operations Associate to join the team.

The Associate will assist with onboarding and supporting representatives that are selling investments. Provide office, data entry and service administrative support for the office operations by following acceptable procedures. Specific responsibilities include but will not be limited to:

Office Administration

  • Open and distribute mail. Prepare outgoing NMIS pouch mail or overnight mail
  • File and log appropriate correspondence and forms
  • Maintain supplies of prospectuses, and sales material
  • Maintain complaint file
  • Distribute processed trades and mutual fund statements to registered representatives
  • Handle incoming calls to answer client requests for current account information only or direct calls to appropriate personnel

Data administration

  • Processes account maintenance requests
  • Review and process commission reports
  • Review branch production reports
  • Maintain daily bank deposits, check and order logs for Agency Supervisory review/approval.
  • Process service requests including fundsdis bursements, account transfers
  • Process trade correction requests per approval from Agency Supervisor

Service Support

  • Respond to registered representative administrative requests
  • Act as liaison for FR NMIS needs, client service access, mutual fund access, and troubleshoot paperwork that is lost or processed incorrectly


  • FINRA Series 6 and Series 63 or Series 7 and Series 63
  • Degree in finance preferred
  • One to three years of securities industry experience preferred
  • Strong organizational and time management skills with ability to set priorities and meet deadlines
  • Ability to work with a high degree of accuracy in handling detailed work
  • Excellent communication skills (verbal and written) with the ability to collaborate effectively with others
  • Ability to multi-task and prioritize
  • Ability to adapt to change, and identify process improvements


  • A competitive base salary commensurate to experience
  • 100% premium coverage HMO medical, dental, and vision benefits
  • Employer-sponsored licensing, professional development, and education opportunities
  • Competitive PTO accrual and holiday pay
  • Parking/transportation stipend
  • High-impact and dynamic career path
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