Associate Financial Representative
Northwestern Mutual, Fort Myers, FL, United States
Join a leading financial services organization dedicated to helping individuals and families achieve lasting financial security. With a rich history of personalized planning and innovative solutions, we empower our clients through expert guidance and cutting‑edge technology to build confident futures.
Associate Financial Representative - Registered Job Overview The Associate Financial Representative (AFR) supports the financial advisor by managing client service, processing variable products and securities, and maintaining compliant, efficient office operations. Acts as liaison between home office, advisor, and clients.
Key Responsibilities Northwestern Mutual Investment Services (NMIS) Operations
Prepare and process new accounts, transfers, exchanges, and redemptions.
Review NMIS forms for accuracy; complete order tickets and assist with trade execution.
Coordinate with NMIS, fund families, and home office to resolve account issues and track onboarding.
Provide account values, performance updates, and client reports as directed.
Support & Compliance
Maintain client case files, correspondence, and account documentation.
Respond to home office inquiries and implement NMIS/insurance compliance requirements.
Maintain annual review notes in Envestnet and mail annual review letters.
Proposal & Case Preparation
Gather client information and prepare materials for advisor meetings.
Draft and modify proposals, investment policy statements, needs analyses, and letters of instruction.
Recommend fund portfolio options and prepare advisory annual review information.
Account Processing & Monitoring
Prepare and process all investment/advisory paperwork; handle checks and related documentation.
Identify and send switch letters; process rollovers and funding for advisory accounts.
Monitor Envestnet for alerts, annual reviews, and to ensure asset allocations are implemented.
Client Service & Reporting
Address advisory service issues and explain product/options to clients.
Accept redemptions/withdrawals and communicate instructions to home office.
Run performance reports (Envestnet, Morningstar, NMCIR) and maintain daily follow‑up tickler system.
Perform cashiering functions and discuss tax/fee implications with clients as needed.
Qualifications
4-6+ Years experience in investment service/operations preferred.
Series 7 and 63 required (or obtain within 6 months with sponsorship).
Strong client relationship skills, excellent verbal/written communication, and high attention to detail.
Ability to manage multiple projects accurately and meet deadlines.
Reliable, team player, self‑starter, self‑sufficient, and hard worker.
Proven strength in written and verbal communication skills.
Strong critical thinking, organizational, and time management skills.
Timely follow‑up and sense of priority.
Ability to adapt to change and thrive in a fast‑paced environment.
Familiarity with Microsoft applications and financial software and tools, especially Netx360, ENV2, NMCIR and Morningstar.
Ability to maintain confidentiality.
Ability to assess financial situations and analyze portfolios.
Preferred
Willingness to obtain additional certifications/licensing related to role.
Licensing/Registrations/Designations: Series 7 Series 63 (or equivalent).
Required Years of Experience: 4-6.
Benefits Package
Medical, dental, and vision coverage.
Flexible scheduling/work from home.
Continuing education.
Work perks such as lunches, team outings, etc.
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Associate Financial Representative - Registered Job Overview The Associate Financial Representative (AFR) supports the financial advisor by managing client service, processing variable products and securities, and maintaining compliant, efficient office operations. Acts as liaison between home office, advisor, and clients.
Key Responsibilities Northwestern Mutual Investment Services (NMIS) Operations
Prepare and process new accounts, transfers, exchanges, and redemptions.
Review NMIS forms for accuracy; complete order tickets and assist with trade execution.
Coordinate with NMIS, fund families, and home office to resolve account issues and track onboarding.
Provide account values, performance updates, and client reports as directed.
Support & Compliance
Maintain client case files, correspondence, and account documentation.
Respond to home office inquiries and implement NMIS/insurance compliance requirements.
Maintain annual review notes in Envestnet and mail annual review letters.
Proposal & Case Preparation
Gather client information and prepare materials for advisor meetings.
Draft and modify proposals, investment policy statements, needs analyses, and letters of instruction.
Recommend fund portfolio options and prepare advisory annual review information.
Account Processing & Monitoring
Prepare and process all investment/advisory paperwork; handle checks and related documentation.
Identify and send switch letters; process rollovers and funding for advisory accounts.
Monitor Envestnet for alerts, annual reviews, and to ensure asset allocations are implemented.
Client Service & Reporting
Address advisory service issues and explain product/options to clients.
Accept redemptions/withdrawals and communicate instructions to home office.
Run performance reports (Envestnet, Morningstar, NMCIR) and maintain daily follow‑up tickler system.
Perform cashiering functions and discuss tax/fee implications with clients as needed.
Qualifications
4-6+ Years experience in investment service/operations preferred.
Series 7 and 63 required (or obtain within 6 months with sponsorship).
Strong client relationship skills, excellent verbal/written communication, and high attention to detail.
Ability to manage multiple projects accurately and meet deadlines.
Reliable, team player, self‑starter, self‑sufficient, and hard worker.
Proven strength in written and verbal communication skills.
Strong critical thinking, organizational, and time management skills.
Timely follow‑up and sense of priority.
Ability to adapt to change and thrive in a fast‑paced environment.
Familiarity with Microsoft applications and financial software and tools, especially Netx360, ENV2, NMCIR and Morningstar.
Ability to maintain confidentiality.
Ability to assess financial situations and analyze portfolios.
Preferred
Willingness to obtain additional certifications/licensing related to role.
Licensing/Registrations/Designations: Series 7 Series 63 (or equivalent).
Required Years of Experience: 4-6.
Benefits Package
Medical, dental, and vision coverage.
Flexible scheduling/work from home.
Continuing education.
Work perks such as lunches, team outings, etc.
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