Wealth Management Junior Financial Advisor

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