Investment Operations Specialist - Queen City Wealth

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.

Key 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.

Required Qualifications:

• 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

Preferred Qualifications:

• 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.

What We Offer:

• $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.

*We are not offering any relocation assistance for placing this role.

*Any candidates must be able to pass background check and become a registered and
fingerprinted individual of Northwestern Mutual and Northwestern Mutual Investment Services.

*Any candidates must possess authorization to work for any employer in the United States. We
are not offering to sponsor an employment Visa at this time.

We are an equal opportunity/affirmative action employer and all qualified applicants will receive
consideration for employment without regard to race, color, religion, sex, gender identity or
expression, sexual orientation, national origin, disability, age or status as a protected veteran, or
any other characteristic protected by law.