At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
Supervises investment and insurance business and activity, in a collaborative team environment, to ensure compliance with firm policies and industry regulations. Partners with Northwestern Mutual field force daily to help them grow their business the right way.
Primary duties & responsibilities:
- Perform review and supervision of securities correspondence, flagged email and social media correspondence between financial representatives and their clients.
- Approve correspondence in accordance with regulatory requirements, as well as firm policies and procedures. Escalate higher risk flagged correspondence to the appropriate field supervisor for resolution.
- Perform transaction supervision using compliance monitoring systems (e.g. the Securities Monitoring and Review Tool (SMART).
- Work closely with a small number of small to mid-sized 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 review and discuss opportunities for workflow improvement, training, and/or documentation within their network office. Perform suitability review and ultimate approval of newly submitted brokerage and advisory accounts.
- Work with supervision team to provide feedback and information on the observed trends found by the Supervision Support Team. Information provided outlines areas of concerns associated with the timeliness and/or documentation of supervisory reviews that have been unaddressed and require action to minimize business risk and ensure regulatory compliance.
- For the assigned supervision and surveillance systems, provide support to the subject matter expert of the respective system (e.g. provide feedback and support with system enhancements to help with implementation). Participate in the discussions related to the creation, testing and implementation of annual system enhancements.
- At the direction of the subject matter expert, provide value by assisting in the completion of miscellaneous basic projects required to improve the overall effectiveness of the system. Participate as a resource on basic divisional project teams.
Knowledge, skills, & abilities:
- Bachelor's Degree in business, finance or related field and/or equivalent work experience.
- 2 years of experience in a professional level position in insurance or financial services industries required.
- 2 years of professional level experience in core product lines (some combination of life insurance, DI, and LTC), mutual fund, and/or general security related experience.
- Series 7 24 licenses must be obtained within 6 months.
- Strong analytical, as well as strong written and oral communication skills needed.
- Strong foundation on NMIS policy and procedure and regulations is needed.
- Ability to work with all levels of management within the field and home office.
- Demonstrated ability to manage multiple issues to resolution in a timely manner while maintaining good relationships with internal and field clients.
- Ability to understand both business and compliance issues and effectively communicate with both compliances and field sales associates.
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.
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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
Employee resource groups