Associate Financial Representative
Northwestern Mutual, The Woodlands, TX, United States
Job Summary
The Associate Financial Representative provides essential support to a Wealth Management Advisor, ensuring smooth operations and excellent client service. This role involves direct client communication, administrative tasks, scheduling, and assistance with account management, allowing the advisor to focus on high-level planning and client relationships. Responsibilities
Client Support and Communication Serve as a primary point of contact for clients, addressing inquiries and providing updates. Assist in onboarding new clients, gathering required documents, and maintaining organized clients’ records. Prepare and distribute client communication materials, including financial plans, reports, statements, and account updates. Investment Account Management Assist in account maintenance and updates, including deposits and withdrawals. Monitor client portfolios for accuracy and handle routine transactions. Insurance Product Support Prepare paperwork for insurance products, assisting clients with applications and document submissions. Provide account maintenance for insurance policies, including changes to beneficiaries, updates to bank account information for payments, and other adjustments as requested. Paraplanning Support Run financial planning projections and develop tax-efficient strategies under advisor guidance. Collaborate closely with advisors and team members to create seamless client experience. Align all meeting materials with financial plans to provide clarity for clients Scheduling and Meeting Coordination Schedule and coordinate meetings between the Financial Advisor and clients, ensuring a well-organized calendar. Prepare necessary materials for client meetings, such as performance reports, investment summaries, and financial projections. Follow up on action items from client meetings to ensure timely completion. Maintain high attention to details and ensure all work aligns with compliance and firm standards. Administrative Support Maintain accurate and organized client files, in compliance with regulatory standards. Handle correspondence and routine communication on behalf of the advisor. Track action items, following up on any outstanding issues or client requests. Compliance and Documentation Ensure all client documentation is complete, accurate, and compliant with legal and regulatory standards. Assist with compliance tasks, such as tracking paperwork, obtaining appropriate signatures, and meeting filing deadlines. Operational Support Support operational tasks, such as processing transactions, monitoring deadlines, and managing daily workflow. Track and resolve routine client service issues, escalating more complex matters to the Financial Advisor as needed. Qualifications
Bachelor’s degree, preferably in finance or a related field. Obtain Life and Health Insurance License before starting date through firm sponsorship. Securities Industry Essentials (SIE), Series 6, and Series 63 licenses required: Series 7 preferred. Strong organizational skills and attention to detail. Excellent written and verbal communication abilities. Ability to manage multiple tasks and prioritize effectively. Familiarity with financial and investment products is preferred. Proficiency in scheduling and document management software. Proficiency in Microsoft Excel and PowerPoint. The Associate Financial Representative is a vital part of the advisory team, providing behind-the-scenes support that enables the Wealth Management Advisor to deliver exceptional client service. Compensation
Compensation: $65,000 – $80,000 : base salary, plus performance-based bonuses. Includes health insurance and 401(k) benefits, along with hands-on mentorship and CFP track support, with a clear path to long-term growth.
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The Associate Financial Representative provides essential support to a Wealth Management Advisor, ensuring smooth operations and excellent client service. This role involves direct client communication, administrative tasks, scheduling, and assistance with account management, allowing the advisor to focus on high-level planning and client relationships. Responsibilities
Client Support and Communication Serve as a primary point of contact for clients, addressing inquiries and providing updates. Assist in onboarding new clients, gathering required documents, and maintaining organized clients’ records. Prepare and distribute client communication materials, including financial plans, reports, statements, and account updates. Investment Account Management Assist in account maintenance and updates, including deposits and withdrawals. Monitor client portfolios for accuracy and handle routine transactions. Insurance Product Support Prepare paperwork for insurance products, assisting clients with applications and document submissions. Provide account maintenance for insurance policies, including changes to beneficiaries, updates to bank account information for payments, and other adjustments as requested. Paraplanning Support Run financial planning projections and develop tax-efficient strategies under advisor guidance. Collaborate closely with advisors and team members to create seamless client experience. Align all meeting materials with financial plans to provide clarity for clients Scheduling and Meeting Coordination Schedule and coordinate meetings between the Financial Advisor and clients, ensuring a well-organized calendar. Prepare necessary materials for client meetings, such as performance reports, investment summaries, and financial projections. Follow up on action items from client meetings to ensure timely completion. Maintain high attention to details and ensure all work aligns with compliance and firm standards. Administrative Support Maintain accurate and organized client files, in compliance with regulatory standards. Handle correspondence and routine communication on behalf of the advisor. Track action items, following up on any outstanding issues or client requests. Compliance and Documentation Ensure all client documentation is complete, accurate, and compliant with legal and regulatory standards. Assist with compliance tasks, such as tracking paperwork, obtaining appropriate signatures, and meeting filing deadlines. Operational Support Support operational tasks, such as processing transactions, monitoring deadlines, and managing daily workflow. Track and resolve routine client service issues, escalating more complex matters to the Financial Advisor as needed. Qualifications
Bachelor’s degree, preferably in finance or a related field. Obtain Life and Health Insurance License before starting date through firm sponsorship. Securities Industry Essentials (SIE), Series 6, and Series 63 licenses required: Series 7 preferred. Strong organizational skills and attention to detail. Excellent written and verbal communication abilities. Ability to manage multiple tasks and prioritize effectively. Familiarity with financial and investment products is preferred. Proficiency in scheduling and document management software. Proficiency in Microsoft Excel and PowerPoint. The Associate Financial Representative is a vital part of the advisory team, providing behind-the-scenes support that enables the Wealth Management Advisor to deliver exceptional client service. Compensation
Compensation: $65,000 – $80,000 : base salary, plus performance-based bonuses. Includes health insurance and 401(k) benefits, along with hands-on mentorship and CFP track support, with a clear path to long-term growth.
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