At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
Leads, assists, and coaches team members in supervising investment and insurance business and activity. Partners with field supervisors in our network offices to influence field business and sales practices and help advisors efficiently grow their business the right way. Participates in and leads projects across the division, department, and Enterprise.
Primary Duties & Responsibilities:
- Perform supervision of multiple of the following types of activity and manage case workloads: transaction monitoring flags, new accounts, middle-office operations, PPA/PX plans, securities correspondence, email messages, social media posts/messages, and life insurance suitability supplements
- Provide service and consulting to and communicate with FRs and field staff as appropriate, including fielding phone queue calls
- Communicate, partner, and build relationships with field supervisors and individuals in other areas of home office as appropriate
- Participate in and lead project work both within and outside of Centralized Supervision
- Perform quality assurance reviews and provide feedback to peers and/or contractors
- Act as technical resource for team on more complex matters and provide training and coaching to others across the team
- In the electronic communication space, potentially informally manage and coach contractors performing email review.
- As a potential pod lead within the Centralized Supervision team, manage pod workflows, coach and mentor pod members, conduct periodic calls with field supervisors to address trends, partner with Field Engagement regional counterparts, handle complex case escalations
Knowledge, Skills, Abilities:
- Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
- Minimum of 6 year of relevant experience. Experience in insurance or financial services industry preferred. Minimum of 5 years of financial services compliance or supervision experience.
- FINRA series 7 & 24 required within 6 months.
- FINRA series 9 or 10 preferred.
- Strong ability to coach and mentor others on the team.
- Strong written and oral communication skills
- Ability to solve complex problems; take a new perspective on existing solutions, exercise judgement based on the analysis of multiple sources of information.
- Explains/coaches others in straightforward situations
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA
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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
If you work or would be working in Colorado or outside of a Corporate location, please click here for information pertaining to compensation and benefits.
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We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.
Flexible work schedules
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