Northwestern MutualAssociate Financial Representative
Oct. 2013 - May. 2016Leawood, KS• Partner with the FR’s in planning incremental goals, accomplishing those goals by working together to meet deadlines and process applications efficiently, and building their businesses successfully.
• Assisted one of the FR’s in reaching a national company award for highest production in his first year in the business.
• Liaison between clients and underwriters during the underwriting process; prepare all financial analysis, projections, and recommendation illustrations for client meetings, including working with various internal programs and correlating compliant requirements; complete service requests from clients in a timely and efficient manner while keeping their long-term financial goals in mind.
• Maintain awareness of FINRA regulations and licensing requirements when processing applications; have advanced knowledge of product information involving insurance (life, disability, long-term care); responsible for checking applications for complete content and compliance issues before processing.
• Regularly process FR's investment requests on behalf of the client such as: setting up new accounts (Traditional, Roth, 529’s, and basic brokerage accounts), obtaining funds (rollovers, transfers, 1035 exchanges, etc.), and trading monies on current accounts in accordance with allocation directives. • Administrative duties such as: maintaining compliant client files, communicating with clients for various reasons, managing the FR’s calendar, and ordering office supplies); tracking production goals and making sure that all applications are paid for before commission cut-off; “tech savvy” ness in a company moving towards paperless processes to appeal to an electronic society.