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Centralized Supervision Specialist – Electronic Communications Focused

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:

Supervises electronic messaging in a collaborative team environment, to ensure compliance with firm policies and industry regulations. Partners with Northwestern Mutual field force and home office partners daily to identify and mitigate risk while growing the business.

How you will do it:

  • Perform review and supervision of flagged email and social media correspondence between financial representatives and their clients.
  • Approve communications in accordance with regulatory requirements, as well as firm policies and procedures. Escalate higher risk flagged communications to the appropriate field supervisor for resolution.
  • Work closely with Network Offices and their accompanying supervisory teams to ensure appropriate monitoring and supervision is conducted in accordance with regulatory requirements, as well as firm policies and procedures.
  • Play a consultative and advisory role to the field supervisors to provide feedback and information on the observed trends related to electronic communications.
  • Participate in the discussions related to the creation, testing and implementation of system and process enhancements.
  • Provide value by assisting in the completion of miscellaneous projects required to improve the overall effectiveness of electronic communication supervision. Participate as a resource on divisional project teams.
  • Maintain production requirements in electronic communication review

Bring your Best! What this role needs:

  • Strong reading comprehension and analysis skills, as well as strong written and oral communication skills.
  • Forward thinking with the ability to anticipate problems and propose recommendations on how to solve for them.
  • A self-directed learner that is adept at research and information gathering and able to make risk-based decisions based on limited information.
  • Able to both collaborate and work independently.
  • Demonstrated ability to manage multiple issues to resolution in a timely manner with a strong sense of ownership and accountability.
  • Ability to understand both business and compliance issues and effectively communicate with both home office and field members to find risk-sensitive solutions.
  • Ability to work with and communicate with all levels of management within the field and home office.
  • Able to independently manage one’s own time.
  • Ability to gather and use data in problem-solving

Desired Qualifications:

  • Bachelor's Degree (business and finance are a plus).
  • Past work history that demonstrates high level competencies in reading, research, oral and written communications, planning and accountability.
  • 2 years of experience in a professional level position (insurance or financial services industries are a plus along with life insurance, DI, and LTC, mutual fund, and/or general security related experience).
  • SIE, Series 7 and Series 24 licenses must be obtained within 6 months.

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.