Job Summary

The Trading Services Consultant provides advanced securities guidance, trade execution support, and operational expertise to clients and Registered Financial Representatives. Operating within Northwestern Mutual, Northwestern Mutual Investment Services (NMIS), and Wealth Management Company (WMC), this role delivers high‑level investment support, ensures regulatory compliance, and serves as a technical resource to the trading services organization.

Primary Responsibilities

Client & Representative Support

• Advise clients and Registered Representatives on the purchase and sale of securities across equities, fixed income, and options.
• Assess client financial needs, risk tolerance, suitability, and investment understanding using fact‑finding information from Financial Representatives.
• Educate clients and representatives on investment strategies and recommend appropriate products based on market conditions and objectives.
• Build trusted relationships to support ongoing needs and long‑term investment guidance.

Advanced Trading & Operational Support

• Support and execute complex transactions (e.g., bond ladders, options strategies, executive option exercises, restricted stock).
• Monitor and interpret market developments using fundamental and/or technical research to inform timely, sound investment decisions.
• Ensure all trading activity complies with FINRA, SEC, MSRB rules and with NMIS/WMC policies and procedures.
• Serve as a backup to the Assistant Director for trade corrections, outgoing correspondence approvals, daily workflow preparation, and escalated client concerns.

Account Servicing & Reassignment

• Coordinate the reassignment of Signature advisory accounts and orphaned Business Retirement Market (BRM) accounts when a servicing advisor departs (termination, disability, retirement, death).
• Provide full servicing for orphaned accounts, including annual reviews, suitability updates, investment guidance, and administrative maintenance.
• Partner with home‑office and Network Office teams to ensure smooth transitions and a consistent client experience.

Training, Leadership & Cross‑Team Support

• Act as a subject matter expert for trading services; mentor and train Securities Specialists and newer team members.
• Evaluate and resolve complex issues escalated by team members.
• Present trading concepts, strategies (e.g., covered calls, bond ladders), and desk processes to large, diverse audiences.
• Contribute to the development and maintenance of trading desk policies, procedures, and internal communications.

Qualifications

• Bachelor’s degree in business or related field.
• 5+ years of experience in the investment/retail brokerage industry with broad knowledge of securities products.
• Thorough understanding of FINRA, SEC, MSRB, and state regulatory requirements for securities activities.
• Licensing requirements:

• Required at hire: FINRA Series 7 and Series 63
• Within 3 months of hire: Series 65 (or WI IAR equivalent)
• Within 6 months of hire: One or more of Series 4, 24, or 53

• Excellent written and verbal communication skills, including confident group presentation capabilities.
• High attention to detail with strong analytical and problem‑solving skills.
• Demonstrated collaboration, project participation, mentoring, and continuous improvement mindset.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:

$78,190.00

Pay Range - End:

$145,210.00

Geographic Specific Pay Structure:

Structure 110:

$86,030.00 USD - $159,770.00 USD

Structure 115:

$89,950.00 USD - $167,050.00 USD

We 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.

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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.