Investment Associate

The Investment Associate will play a central role in implementing Cowell Financial’s planning and wealth philosophies, participating in investment committee meetings, investment operations, and delivering high-quality portfolio analysis and client-focused recommendations. This role blends technical investment work with client-service responsibilities and offers strong opportunities for professional development and advancement.

Responsibilities include but are not limited to:

Investment strategy & portfolio management

Implement and uphold Cowell Financial’s planning and wealth management philosophies across client accounts

Participate actively in investment committee meetings and help translate committee decisions into client actions

Perform asset allocation, asset location, and time-weighted asset allocation analysis

Implement proactive rebalancing, tax-loss/gain harvesting, Roth conversions, charitable giving strategies, and strategic distribution planning

Prepare and execute retirement distribution plans, RMDs, cash reserve strategies, and other retirement-focused initiatives

Expense management & product oversight

Monitor share classes (A, B, C, institutional), annuities, advisory pricing, LOI/breakpoints and CDSC

Maintain awareness of and optimize expenses across client portfolios, including whole-family aggregated advisory pricing and SIMPLE IRA breakpoints

Maintain entity tax-type and SIMPLE IRA eligibility requirements

Retirement & qualified plan support

Provide general 401(k) allocation observations per service models and client need

Assist with in-service distributions, reminders for automatic rebalancing of employer plans, and coordination with TPAs

Maintain up-to-date Plan Highlights documentation and ensure retirement account deposits ahead of tax filing deadlines

Trading & investment operations

Complete onboarding paperwork, send documents for electronic signature, facilitate rollovers and transfers, place trades, log checks/orders, execute ACHs and wires, and manage account operational tasks across advisory, brokerage, variable annuities, SMAs and Private Client Services

Monitor annual advisory account review requirements, items for attention/alerts and other operational exceptions

Client service, compliance & communication

Analyze client financial situations and portfolios to develop and implement comprehensive recommendations aligned with client goals

Emphasize confidentiality, compliance and exceptional client service in all interactions

Work independently and collaboratively, delegate where appropriate, and manage multiple complex assignments efficiently and accurately

Research, learning & industry engagement

Maintain up-to-date investment industry and Northwestern Mutual knowledge

Participate actively in firm learning opportunities: meetings, schools, conferences, webinars and professional designation programs

Qualifications:

Bachelor’s degree

SIE, Series 7, Series 63 licensed, or equivalent

CFA designation or desire to acquire

Strong proficiency with Microsoft Excel, Outlook and Word

Excellent quantitative skills (time value of money, financial calculator, portfolio analytics)

Strong analytic, research, critical thinking and problem-solving abilities

Exceptional attention to detail, organizational skills and the ability to manage competing priorities to deadlines

Effective active listening and communication skills

Commitment to client-first ethics, confidentiality and compliance

Passion for investments and a demonstrated thirst for ongoing professional development

Benefits:

Health insurance

Dental insurance

Vision insurance

Long-term disability income plan

Life insurance

401(k) with match

Professional designation program

Paid holidays & paid time off

Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries in Milwaukee, WI. Northwestern Long Term Care Insurance Company (NLTC), Milwaukee, WI, (long-term care insurance) a subsidiary of NM. Investment brokerage services are offered through Northwestern Mutual Investment Services, LLC, (NMIS) a subsidiary of NM, broker-dealer, registered investment advisor, and member FINRA and SIPC. Investment advisory and trust services are offered through Northwestern Mutual Wealth Management Company® (NMWMC), Milwaukee, WI, a subsidiary of NM and a federal savings bank.

Members of Cowell Financial use Cowell Financial as a marketing name for doing business as representatives of Northwestern Mutual. Cowell Financial is not a registered investment adviser, broker-dealer, insurance agency, or federal savings bank. To view detailed disclosures regarding individual representatives, view their information at cowellfinancial.com.