Operations Associate

The Operations Associate is responsible for primarily handling client service, investment, and insurance operations. This individual works closely with an experienced team; including an Insurance Operations Manager, Director of Operations, and multiple Relationship Managers. Their focus is to help implement the financial planning recommendations being made to clients and providing ongoing internal and external servicing.

Responsibilities include, but are not limited to:

  • Respond and help manage SASERVICE emails and inbound client phone calls
  • Assists clients with service on existing insurance and investment accounts
  • Completes applications or new account paperwork, schedule medical exams, and initiates insurance applications or investment paperwork
  • Serves as a backup for insurance underwriting, reporting, and policy deliveries
  • Scanning and maintaining compliant client files in E-file system
  • Documents client conversations in case notes and maintains CRM as needed
  • Creates new account paperwork, forms, etc. for all new investment
  • Assist with investment trades, check requests, money transfers, and domestic
  • Stay up to date and informed on technology changes, attending webinars or classes as needed to stay current on correct processes and procedures when conducting business daily
  • Maintains own personal CE credits and certification, knowing when your licenses expire and be sure to meet the deadlines to keep your certifications and licenses valid
  • Sustains a positive, enthusiastic, and professional office atmosphere and environment
  • Maintains the sense of autonomy, urgency, and takes initiative
  • Participates in team meetings as requested


  • AAS or BA/BS
  • MN State Life, Accident & Health licensed – or the ability to obtain in 3 months
  • Either Series 7 or Series 6 and 63 – or the ability to obtain in 3 months
  • 3+ years’ experience in the financial services industry, or 1+ years of Northwestern Mutual experience

Performance Skills

  • High sense of urgency and attention to detail
  • Exceptional organizational skills
  • Excellent oral and written communication skills
  • Ability to follow through and execute in a timely manner
  • High degree of initiative and autonomy
  • Ability to work in a fast-paced environment
  • Proficient in MS Office/CRM (Excel, Word, PowerPoint)
  • Professional and polished demeanor
  • Demonstrated ability to maintain effective working relationships with inter-office team and clients