COMPANY OVERVIEW

Schock and Associates is an affiliate of Northwestern Mutual, a top financial services company helping clients achieve financial security for over 160 years. Schock and Associates provides clients with a customized plan that guides you from your working years through retirement. Schock and Associates makes sense of all the pieces to your financial landscape to deliver an objective and transparent plan. Our team specializes in working with clients who are approaching or already in retirement. We understand this is a time of great excitement but also uncertainty in our client's lives. Our goal is to eliminate this fear and provide utmost clarity for you and your family in order to give you confidence in your retirement.

POSITION OVERVIEW

Schock and Associates is seeking an initiative-driven, detail-oriented team player to be an integral member of the Private Wealth Management Advisor’s team. The Financial Operations Manager will support the team and perform functions that enable the operational efficiency needed for the continued growth of the firm.

The ideal candidate will have an active interest in the financial services industry and desire for professional growth. This role requires a high degree of organizational capability, strong communication skills and ability to work both independently and as part of a team. This is an exciting opportunity as the role and accompanying responsibilities have the potential to evolve as the Advisor’s practice grows.

JOB RESPONSIBILITIES

• Correspond with clients to handle service issues

• Process account maintenance requests

• Oversee preparation prior to client or prospective client meetings

• Gather client information on behalf of the Wealth Management Advisor and answer basic client questions

• Act as Liaison for the firm’s brokerage needs, including maintaining client service access and mutual fund access

• Troubleshoot paperwork that is lost or processed incorrectly

• Oversee opening of new accounts

• Assist in maintaining daily bank deposits, check, and order logs for Agency Supervisory review and approval

• Assist in processing service requests including funds disbursements and account transfers and any necessary corrections

• Monitoring, processing, and following up on asset transfers and on initial and subsequent funding of brokerage accounts

• Provide additional support to the Director of Client Relations and Director of Investment Operations and Services, as required

• Process, or collaborate with others to open/fund investment accounts and investment service requests such as funds disbursements, account transfers and trade correction requests

• Process, or collaborate with others to complete risk product (POS) service requests such as name and address

changes, beneficiary changes, updates to billing to facilitate the collection of payments, etc.

• Maintain Wealth Management Advisor’s website

• Sustain a positive, enthusiastic, and professional office atmosphere for clients and colleagues

IDEAL CHARACTERISTICS

• Strong attention to detail, accuracy, and reliability

• Ability to multitask in a fast-paced environment

• High degree of initiative, ownership, and follow-through

• High degree of helpfulness and willing to serve as a resource

• Excellent oral and written communication skills

• Demonstrated organizational and time management skills with ability to set priorities and meet deadlines

• Strong sense of professionalism and discretion required

REQUIRED QUALIFICATIONS

• Bachelor’s Degree

• 2 years of financial services, securities industry, and/or insurance industry experience

• Wisconsin Life, Health and Variable Annuities Agent License

• FINRA Series 6 or 7

• FINRA Series 63 or 66

PREFERRED QUALIFICATIONS

• Experience with Morningstar, NetX360, ENV2 and FolioDynamix

• Experience with CRM

• Experience with Financial Planning Software

• Broker dealer knowledge and understanding

• 2-3 years financial planning experience

BENEFITS

Benefits include health insurance, paid time off, simple IRA after one year of employment, short- and long-term

disability, dental and vision insurance, additional bonus structure, and license/credential reimbursement.

ADDITIONAL DETAILS

Employment Structure: Full-time

Location: 8500 Greenway Blvd Ste 200, Middleton, WI 53562

As part of the Northwestern Mutual hiring process, verification of a candidate's background will be required, which includes Federal Bureau of Investigation

fingerprint submission for review against nationwide fingerprint records.

Job Type: Full-time

Pay: $55,000.00 - $68,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• Holidays
• Monday to Friday

Supplemental pay types:

• Bonus pay

Ability to commute/relocate:

• Middleton, WI 53562: Reliably commute or planning to relocate before starting work (Required)

Education:

• Bachelor's (Required)

Experience:

• Financial Services: 2 years (Required)

License/Certification:

• Wisconsin Health, Life and Annuities License (Preferred)
• Series 6 or Series 7 (Preferred)
• Series 63 or Series 66 (Preferred)

Work Location: Hybrid remote in Middleton, WI 53562

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