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Wealth Management Junior Financial Advisor

Northwestern Mutual New York, NY

New York, NY

Today

$85k - $85k/yr Full time Advisor Client Relations Client Service

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Job Description

The Wealth Management Junior Financial Advisor position at Northwestern Mutual is a hands-on role designed to connect client service and planning support with progressive advisor responsibilities. This full-time opportunity is primarily based in-office in New York City or Miami, with some flexibility for remote work as appropriate.

Role Overview

In this bridge role, you will start with client service, financial planning assistance, and account administration, then gradually move toward greater ownership of client relationships and independent client meetings. The position is structured to progress from a Client Service Associate toward a Junior Financial Advisor, with the long-term objective of advancing into a Lead Advisor capacity.

Location and Schedule

Office locations: New York City (875 Third Avenue, New York, NY) or Miami (Brickell area, Miami, FL)
Work setup: Primarily in-office/hybrid with some remote flexibility
Availability: Monday through Friday, 8:30 AM to 6:30 PM Eastern Time

Compensation

Base salary: USD 85,000 per year
Quarterly bonus potential: up to 10% of base salary per quarter, based on client service execution, individual performance, and business development

Key Responsibilities

Participate in client calls and meetings, and capture detailed, actionable notes
Prepare for client review meetings and financial planning discussions
Review and update retirement projections and financial planning models using information gathered from client meetings
Assist with identifying planning opportunities and determining appropriate next steps
Open and maintain investment and advisory accounts
Process transfers, rollovers, and other asset movements
Coordinate ongoing client service requests and manage follow-ups and review-related items
Communicate directly with clients regarding outstanding items, account activity, planning needs, and next steps
Maintain organized client files, workflows, and action items
Coordinate with the investment team on account implementation and portfolio-related requests
Develop an understanding of the rationale behind investment and financial planning recommendations
Identify unresolved issues, planning opportunities, and client needs proactively
Follow through on action items until completion
Gradually take greater ownership of client relationships, including independent outreach as experience grows
Support Lead Advisors in preparing for and conducting client meetings
Develop toward independently leading client meetings and presenting recommendations
Assist in identifying additional planning and business development opportunities within existing client relationships
Eventually manage designated client relationships directly

Required and Preferred Qualifications

Education: Bachelor’s degree required (preferably in finance, economics, business, or a related field)
Experience: minimum 5 years (financial services, wealth management, or a closely related field preferred)
Licenses/Exams: SIE required
Life & Health Insurance license: preferred, or ability to obtain within 30 days of hire
FINRA Series: Series 7 and Series 66, or Series 63/65, preferred
Client experience: experience working directly with clients strongly preferred
Planning and compliance knowledge: strong understanding of financial planning, retirement planning, investments, regulations, compliance requirements, and industry best practices
Communication and organization: strong written and verbal communication, attention to detail, and ability to manage multiple priorities and workflows independently
Advisory mindset: ability to understand and explain the rationale behind recommendations rather than focusing only on transactions
Systems: proficient with Microsoft Office, including Word and Excel; ability to learn CRM systems, financial planning software, clearing-firm systems, and other financial technology platforms
Northwestern Mutual experience: a plus; candidates with Northwestern Mutual experience and the SIE will be given priority

Technology and Tools

Microsoft Office (Word and Excel)
CRM systems
Financial planning software
Clearing-firm systems
Other financial technology platforms

Benefits and Professional Support

Health and dental insurance available through the Northwestern Mutual platform
Paid time off, vacation, and sick time
Retirement plan available through the Northwestern Mutual platform
Long-term and short-term disability insurance
FINRA licensing, coursework, and continuing education support

Career Path

Client Service Associate → Junior Financial Advisor → Lead Advisor
Initially focused on client service, financial planning support, account implementation, and follow-up responsibility
Progresses as technical knowledge, judgment, communication skills, and independent client relationship management develop
Long-term objective includes independently managing client relationships, leading meetings, making recommendations, identifying planning opportunities, and contributing to practice growth

Additional Hiring Notes

This is a full-time role primarily in-office and may be based in either the New York City or Miami office
Work is expected to be mostly from the office, with some appropriate flexibility for remote work

What the Role Emphasizes in Candidate Fit

Northwestern Mutual is specifically seeking candidates who can demonstrate hands-on experience. You should be prepared to discuss specific examples related to:

Client relationships you have personally supported or managed
Financial or retirement plans you helped develop
Investment recommendations you participated in or presented
Client meetings you participated in or led
Complex client situations or problems you helped resolve
Processes or workflows you independently owned
Opportunities you identified without being directed
Client follow-up and relationship management responsibilities you personally handled
Business development opportunities you identified or helped execute

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