Client Service Administrator

Internship: Hourly paid internship with further advancement within’ firm departments and full-time if eligible. 

Full-Time: Salary with full benefits and required licensing/registrations/designations: 

- Life & Health – Gain within 3 months 

- SIE – Gain in 3-4 months 

- Series 63 – Gain in 4-6 months 

- Series 7 – Gain in 6-12 months 

Securities Registration Not Required | Non-registered fingerprinted (NRF) person

OVERALL FUNCTION

Specializes in client service and client facing to ensure the maintenance of an efficient, organized office that allows the Wealth Management Advisor to focus his/her energy on building client relationships. Liaison between the home office, Wealth Management Advisor, network office support team and clients. Specific responsibilities may include but are not be limited to: 

SUPPORT 

 Handle case notes, process correspondence and maintain client CRM case files 

 File new statements, account forms, and other insurance/investment-related materials 

 Maintain financial representative’s calendar and schedule follow-up appointment 

 Answer telephone calls and direct them as appropriate 

 Input data, print proposals and gather information at direction of WMA in preparation for 

client/prospect meeting 

 Client relationship development and management including ongoing and regular client contact and 

communications 

 Lead and direct discovery, decision, and review meetings for current and prospective clients. 

 Solve complicated financial planning, estate, tax, and retirement issues 

 Securities Licensing Series 6, 63/SIE, 7 Preferred 

 Excellent interpersonal, communication, and listening skills with several years of client interfacing 

experience 

 Ability to understand and explain sophisticated financial concepts and issues 

 Strong problem-solving skills and sales experience client/customer facing 

 Passionate about doing what is in the best interest of clients 

 Team Player, collaborative, and able to work with and through others 

 Proficiency in Word, Excel, and Adobe 

 Experience with client relationship management software preferred 

 Detail-oriented, accurate, organized, able to set priorities, self-starter 

 Desire/ability to work successfully in a small team environment 

 Contact clients to set up follow-up meetings with WMA 

 Contact clients to confirm receipt of forms or request completed forms (anytime out for esign) 

 Monitor Daily Status Report (DSR) and expedite any additional underwriting requirements 

 Communicate with home office, NMIS and fund families as needed to supply or obtain information 

 Prepare esign instruction for client signature & policies for delivery (PDA & A vs A)

CLIENT SERVICE SUPPORT | NON-SECURITIES PRODUCTS 

(Non-securities refers to Northwestern Mutual portfolio, fixed or non-variable insurance/products) 

 Review insurance applications, conversions and policy changes for completeness and accuracy and 

return to representative for any missing information 

 Arrange medical, paramedical and any exams necessary for underwriting 

 Provide current status and account values for non-securities related accounts 

 Contact clients regarding late payments 

 Process incoming non-securities related insurance service requests from clients (process address 

changes, bank change information, loan requests and ISA service inquiries) 

 Prepare account summaries for variable and securities owners 

 Support Investment CSA in overflow tasks for client onboarding and service 

CLIENT SERVICE SUPPORT | VARIABLE INSURANCE/ANNUITY AND INVESTMENTS 

 Gather information for WMA’s meetings with clients/prospects (prospectuses, annual reports, 

Morningstar reports). 

 Enter investment data into planning software (non-asset allocation components only) and distribute 

NMIS related forms to existing clients 

 Review variable insurance/annuity applications, conversions and policy changes for completeness 

and accuracy and return to registered representative (RR) if missing information 

 Review NMIS forms for completeness and return to RR if missing information 

 Monitor Items for Attention (IFA) and bring any action items to the RR’s attention 

 Complete order tickets and new account forms based on information obtained by RR 

 At RR’s direction, initiate fund/NMIS transfers, exchanges and redemption requests 

 Receive and forward checks and related paperwork to the network office and home office investment 

operation areas 

 Work with network office, NMIS and fund families to resolve client account issues 

 Provide account values and performance to clients at the direction of RR