At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons why people choose to build careers at Northwestern Mutual.
We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative and growing.
We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.
We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.
What you will do:
Responsible for supervising and leading the Centralized Supervision Team: a team of skilled professionals in specific compliance division. This role will build relationships, manage projects, hire new team members, as well as continuously coach and develop staff. Will assist and support the development of overall strategy for division to ensure effectiveness and program development. This role will partner with department leaders, business owners, and key stakeholders to advance divisional, departmental, and enterprise objectives.
Primary Duties & Responsibilities:
Serves as consultative, managerial, and technical authority to staff in specialty division
Assist in the development and execution of overall strategy to ensure program effectiveness
Demonstrate to partners and stakeholders the value proposition of specialty division
Recruits, hires and onboards talent ensuring the right mix of talent within team. Builds an inclusive, engaging environment that encourages accountability, productivity, and development.
Builds effective teams by selecting talent, coaching, developing, and motivating divisional personnel
Ensure team has the technical, business and procedural knowledge as well as the interpersonal skills to perform successfully in evolving compliance environments
Builds and maintains relationships across department and with business partners to understand enterprise compliance support needs. Collaborates with business partners and leadership to identify business challenges and gaps that impact current and future performance and guides team to develop capabilities and processes to meet these needs.
Assist in developing department divisional plans, including business, production and/or organizational priorities in support of department business objectives.
Directs work distribution, and assist in the creation and refinement of workflows and processes
May assists with divisional budget management.
Bring Your Best! What this role needs:
Bachelor's degree in business administration, finance, marketing, pre-law, etc. preferred.
FINRA series 7 & 24 required or can be acquired within 6 months
Minimum of 6 years of proven experience. Preferably 2 years of leadership experience, formal or informal. Experience in the financial services/securities industry preferred.
Ability to lead, mentor, and develop direct reports.
Ability to lead others to tackle complex problems using sophisticated analytical thought to exercise judgment and identify innovative solutions.
Guided by policies and divisional plan, ability to impact the team's ability to achieve service, quality and timeliness of objectives.
Ability to explain information, convey performance expectations and handle sensitive issues.
Great pay package, 401K, company sponsored retirement plan, educational assistance, performance based incentive pay, medical, dental and vision insurance, parental leave, caregiver time off….and more!
Business Partnerships - Intermediate
Case Documentation - Intermediate
Customer Service - Advanced
Field Consulting - Intermediate
Investment Product Management - Intermediate
Life Insurance Products - Intermediate
Marketing Compliance - Advanced
Marketing Distribution - Advanced
Marketing Materials - Advanced
Negotiation - Advanced
Peer Reviewing - Intermediate
Policy Setting - Advanced
Process Improvements - Intermediate
Regulatory Requirements - Advanced
Risk Management - Advanced
Sales Process - Intermediate
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:Series 24 - FINRA, Series 7 - FINRA
Pay Range - Start:
Pay Range - End:
Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.
Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now!
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 California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.
FIND YOUR FUTURE
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
Employee resource groups