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Brokerage Services Registered Analyst – Series 7, 63
Northwestern Mutual. Provide consultative service to clients and advisors on investment concepts .
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in mutual fund trading, brokerage account servicing, and tax reporting while providing consultative services to clients. Strong ability to analyze investment transactions and ensure compliance with regulatory requirements.
Highest-signal resume keywords
FINRA Series 6 LicenseFINRA Series 7 LicenseFINRA Series 63 LicenseInvestment Product KnowledgeCustomer Service Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Investment Transaction AnalysisTrade ExecutionCost Basis CalculationTax ReportingCompliance Standards Application
Soft Skills
Critical ThinkingProblem-SolvingWritten CommunicationVerbal CommunicationContinuous Learning
Certifications & Qualifications
FINRA Series 6FINRA Series 7FINRA Series 63SIE - FINRA
Industry Keywords
Investment ConceptsFinancial MarketsRegulatory RequirementsClient RetentionDigital Capabilities
About the role
Key responsibilities & impact- Provide consultative service to clients and advisors on investment concepts
- Serve as an expert on mutual fund trading, brokerage account servicing, cost basis, and tax reporting
- Apply industry knowledge to complex problems and build critical-thinking skills
- Collaborate with department leads and NM Wealth business partners to drive product enhancements
- Learn new concepts and help others navigate industry change
- Serve as primary contact for assigned NM Investment home-office clients
- Address inquiries about investment accounts and products
- Analyze, input, and review investment transactions, including trade executions, transfers, and account maintenance
- Ensure transaction accuracy and compliance
- Stay current on industry trends, investment products, and regulatory requirements
- Educate clients and field partners on digital and self-service capabilities
- Contribute to continuous improvement and client retention efforts
Requirements
What you’ll need- FINRA Series 6 or 7 and 63-equivalent licenses (65 or 66)
- Associate degree in business or related field or equivalent combination of education and experience
- Minimum of 3 years related financial services experience
- Advanced customer service, written, and verbal communication skills
- Intermediate understanding of tax implications related to investments
- Strong desire to continuously learn and improve
- Strong problem-solving and scenario-evaluation skills
- Ability to provide solutions
- Series 63 - FINRA
- Series 7 - FINRA
- SIE - FINRA
- Requires fingerprinting
- Must protect customer privacy and confidentiality and follow applicable legal and regulatory requirements for data management
- Knowledge of investment products, financial markets, investment concepts, and related regulations
- Ability to apply compliance standards, policies, processes, and procedures