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Centralized Supervision Senior Specialist

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:

Supervise investment and insurance business and activity, in a collaborative team environment, to ensure compliance with firm policies and industry regulations. Partner with our field force daily to help them grow their business the right way and the opportunity to get involved in project work to create greater efficiency and improve the way we work.

How you will do it:

  • Perform supervision of multiple of the following types of activity and manage case workloads: transaction monitoring flags, new accounts, middle-office operations, Personal Planning Analysis/Planning Experience plans, securities correspondence, email messages, social media posts/messages, and life insurance suitability supplements.
  • Provide service and consulting to and communicate with Field Representatives 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 project work within and potentially outside of Centralized Supervision.
  • Perform quality assurance reviews and provide feedback to peers and/or contractors.
  • Act as technical resource for team members and potentially provide training and coaching to others.
  • 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 4 year of meaningful experience. Experience in insurance or financial services industry preferred. Minimum of 2 years of professional financial services industry experience.
  • FINRA series 7 & 24 required within 6 months.
  • FINRA series 9 or 10 preferred.
  • Strong analytical and risk-aware decision-making skills.
  • Strong written and oral communication skills.
  • Ability to solve complex problems; take a new perspective on existing solutions, exercise judgment based on the analysis of multiple sources of information.
  • Ability to solve problems in straightforward situations; ability to analyze possible solutions using technical experience, judgment, and precedents.
  • Explains/coaches others in straightforward situations.

Benefits:

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!

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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

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 Colorado 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.