Role Summary:

The Manager of the Top Advisor Team within Investment Client Services will lead a high-performing group dedicated to supporting the firm’s most successful advisors. This role combines strategic leadership, operational excellence, and deep industry expertise to deliver exceptional service and drive advisor success.

Key Responsibilities:

Leadership & Team Development

• Lead and develop a team of professionals, including staffing, mentoring, performance management, and succession planning.
• Foster a culture of accountability, collaboration, and continuous improvement.

Strategic Oversight & Operational Excellence

• Define team purpose, clarify roles, set milestones, and establish success measures.
• Drive innovation and scalability while ensuring compliance with regulatory and program guidelines.
• Translate regulatory and program changes into actionable steps to minimize risk and operational disruption.

Service Delivery & Risk Management

• Ensure high-quality, cost-effective service delivery by managing operating plans, budgets, and service-level goals.
• Oversee complex escalations related to staff, cases, processes, and systems from both home office and field operations.
• Conduct timely quality reviews and audits to maintain compliance and mitigate risk.

Collaboration & Relationship Management

• Partner closely with financial advisors and staff to resolve complex cases and enhance operational success.
• Collaborate with internal teams (product, compliance, supervision, engineering) and external vendors to drive improvements.
• Represent the division in projects and initiatives, serving as SME or project lead from concept through completion.

Industry Expertise & Continuous Improvement

• Apply deep knowledge of securities trading, investment products, and regulatory frameworks.
• Recommend product and system enhancements to improve advisor productivity and client experience.
• Identify and implement process or technology improvements to reduce costs and increase efficiency.

Field Engagement & Change Leadership

• Serve as a key liaison to top advisors and their teams, including in-person visits, conferences, and industry events.
• Lead change management initiatives across the organization, ensuring smooth adoption and minimal disruption.

Additional Responsibilities

• Support dedicated trading platforms and vendor relationships.
• Assist with planning and execution of home office and field events.
• Stay current on industry trends and proactively communicate implications to stakeholders.

Qualifications:

• Bachelor’s degree in business, investment operations, or equivalent experience.
• Minimum 7 years of investment experience, including 2+ years in operational management leadership.
• Strong technical knowledge of financial services operations; brokerage and advisory trading experience preferred.
• Experience with Pershing and Envestnet a plus.
• FINRA Series 7 and 24 required.
• Proven ability to manage complex projects, lead teams, and adapt to changing business needs.
• Exceptional relationship-building skills and ability to influence across multiple stakeholders.
• Strong business acumen, strategic thinking, and ability to anticipate future trends.

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

Compensation Range:

Pay Range - Start:

$84,350.00

Pay Range - End:

$156,650.00

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

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.

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 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.

FIND YOUR FUTURE

We’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.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups

PandoLogic. Category:Finance, Keywords:Financial Advisor - Registered Representative, Location:Franklin, WI-53132