About This RoleJoin the General Trading team within Northwestern Mutual's Investment Client Services division as a Senior Trading Specialist. In this hybrid role based in Franklin, WI, you'll advise clients and Financial Representatives on securities transactions across equities, fixed income, and options, while ensuring every trade is executed accurately and in full compliance.
This is a hands-on trading desk role where your market knowledge, client instincts, and attention to detail directly impact the investment experience for NM clients. If you bring experience with alternative investments, that's a strong plus for this team. You'll join a collaborative desk at a Fortune 100 company with 165+ years of financial strength, clear career paths, and experienced leadership.
What You'll DoAdvisory & Trade Execution- Serve as a trusted resource for Financial Representatives and their clients on the purchase and sale of equities, fixed income, and options.
- Assess client financial needs, risk tolerance, and suitability by combining your market expertise with client profiles and portfolio analysis to recommend appropriate investments.
- Execute equity, fixed income, and options transactions on behalf of Financial Representatives, ensuring accuracy and full regulatory compliance.
- Build credibility and develop lasting client relationships through ongoing assessment of financial needs and timely investment recommendations.
Market Intelligence- Stay current on securities market developments, using fundamental and technical research to support sound, timely investment decisions on behalf of Northwestern Mutual clients.
- Educate clients on appropriate investment strategies based on market trends and individual financial profiles.
Compliance & Standards- Maintain full compliance with FINRA, SEC, and MSRB regulations.
- Adhere to all internal trading policies, procedures, and standards.
What You'll BringMust-Haves- Bachelor's degree in business or a related field
- 3-5 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
- Strong attention to detail
Preferred- Alternative investment experience (highly valued for this team)
- Portfolio analysis experience
- Interest in client education and relationship building
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
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 63 - FINRA, Series 7 - FINRA, SIE - FINRA
Compensation Range:Pay Range - Start:
$65,440.00
Pay Range - End:
$98,160.00
Geographic Specific Pay Structure:Structure 110:
$72,000.00 USD - $108,000.00 USD
Structure 115:
$75,280.00 USD - $112,920.00 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 to learn more.Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!Northwestern Mutual is an 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.SkillsProcess Improvement (NM) - Intermediate, Technical Problem Solving (NM) - Intermediate, Cross Functional Partnering & Planning (NM) - Intermediate, Storytelling through Data (NM) - Intermediate, Organizational & Political Savvy (NM) - Intermediate, Consulting (NM) - Intermediate, Adaptive Communication (NM) - Intermediate, Attention to Detail (NM) - Intermediate, Financial Services Industry Acumen (NM) - Intermediate, Audits (NM) - Intermediate, Change Adaptability (NM) - Intermediate, Statutes & Regulation (NM) - Intermediate, Customer Support (NM) - Intermediate, Organization (NM) - Intermediate, Customer Service Mindset (NM) - Intermediate, Policy Inquiries & Complaints Management (NM) - Intermediate, Industry Knowledge (NM) - Intermediate, Prioritization (NM) - Intermediate, Policy & Procedure (NM) - Intermediate, Financial Securities (NM) - Intermediate, Field Consulting (NM) - Intermediate, Business Acumen (NM) - Intermediate, Compliance (NM) - Intermediate, Strategic Thinking (NM) - Intermediate, Customer Centricity (NM) - Intermediate, Analytical Thinking (NM) - Intermediate, Root Cause Analysis & Decision Quality (NM) - Intermediate, Investment Management Systems (NM) - Advanced, Investment Products (NM) - Intermediate, Tax Awareness (NM) - Intermediate
FIND YOUR FUTUREWe're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.
- Concierge service
- Employee resource groups
PandoLogic. Keywords: Financial Broker, Location: Franklin, WI - 53132
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