Investment Operations Specialist

Northwestern Mutual - Denver • Denver, CO

1d • $60,000 - $70,000

About The Position

Queen City Wealth is a powerhouse wealth management firm founded in Denver, Colorado.
Women owned and led, we’re trailblazing an inclusive path of holistic financial planning for all.

“We stand for a world where money is a tool—not a barrier—and where financial literacy and enduring
wealth are universally accessible, enabling safer lives, fuller choices, and lasting generational impact.”

Overview:
We are seeking an Investment Operations Specialist who shares our commitment to exceptional
service and attention to detail. The Investment Operations Specialist plays a pivotal role within our
firm, ensuring every client interaction is seamless and personalized. Your expertise will enhance
our clients’ experience and drive the success of our boutique operations.

Requirements

• 1-2 years minimum experience in client service or administrative roles within the financial services industry
• Colorado Life and Health Insurance License
• FINRA Securities Investment Essentials (SIE), Series 6, and Series 63
• Proficiency in Microsoft Office Suite

Nice To Haves

• In-depth knowledge of Northwestern Mutual risk and investment product offerings
• Knowledge of Northwestern Mutual enterprise systems (CRM Dynamics, NetX360, ENV2)
• FINRA Series 7
• Detailed knowledge of retail investment products including IRAs, Roth IRAs, Individual/Joint investment accounts, 529 accounts, etc.

Responsibilities

• Client Service: Promptly respond to client inquiries and service requests for investment products via email and phone.
• Application Processing: Compile and prepare new applications for investment products including sending for e-signature, submitting for compliance review, keying account features, and submitting transfer requests while tracking to completion.
• Account Monitoring: Track client cashflows, RMDs, and regularly scheduled investment transactions.
• Transaction Processing: Execute money movements, trade mutual funds & ETFs, perform tax-loss harvesting, manage account transfers, facilitate rollover calls.
• Client Engagement: Proactively reach out to clients for necessary items, maintaining strong, personalized relationships through regular communication and follow-up.
• Data Management: Keep precise client records and documentation, ensuring our systems reflect the personalized service we provide.
• Collaborative Excellence: Partner with planning team and leadership to deliver cohesive, boutique client service experience.
• Administrative: Other duties as assigned.

Benefits

• $60,000 - $70,000 base salary with bonus potential
• Medical insurance including health, dental, and vision
• Group short-term and long-term disability insurance
• 401(k) plan with employer match
• Flexible Time Off program, including your birthday off every year
• Support for personal education and development - including licensing, registration, and designations.
• For candidates outside of Colorado, you must be able to work from a Northwestern Mutual office 2-3 days a week located in your area.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed