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CLR Sr. Specialist

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

Supports the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective new agents in support of NM's field force. Provides technical consultation and training to the field and divisional staff. Leads project teams to enhance service and ensure full compliance with company, state, and regulatory standards. Supports the day-to-day operations by directing divisional staff in all areas of responsibility which includes contract underwriting, reporting, all licensing related requirements, Annuity and LTC training, and FR/field terminations.
Directs and coordinates the handling of difficult and sensitive cases/transactions related to regulatory requirements, policies, procedures, complaints and errors requiring a high degree of technical knowledge, sensitivity, critical thinking and judgement. Evaluates and grants exceptions to established practices, procedures when appropriate.
Provides technical consultation to the field and Home Office management to ensure that financial representatives meet Company standards both in acquiring and maintaining NM contracts, registrations, and licenses.
Coordinates research and analysis to resolve questionable cases involving Enterprise Risk Assurance, the Law department, and Career Distribution leadership. Considers all factors that may affect the final action; these factors include character determination, legal or bonding issues, financial and criminal history. Provides early warning to field management in resolving CLR onboarding related problems.
Develops and implements an audit procedure for the division which includes defining the audit standards and parameters and conducting regular audits to ensure all aspects of CLR onboarding are completed both acuratley and timely.
Develops and provides technical training to divisional and department staff.
Helps develop business and system requirements, designs and implements business aspects for any project that has an impact on the workgroup.
Responsible for managing, monitoring and proactively adjusting workflow to ensure and support efficient and timely processes.
Supports and assists the manager in the operation of the division and can act as a backup to the manager. May assist with dashboards, performance boards and other related duties as appropriate.
Bachelor's degree or an equivalent combination of education and progressively responsible work experience.
Minimum of five years management level experience, preferably in the Legal and Regulatory job family. Demonstrated leadership and mentoring/coaching skills and the ability to develop and train team members.
Demonstrated experience in leading process improvement, system enhancements and/or committee efforts through development and implementation.
Demonstrated high level of organization and follow through with the ability to effectively identify and independently establish priorities and meet deadlines on multiple assignments with high quality results.
Excellent written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with all levels in the department, the company, and the field to obtain maximum operational efficiency.
Strong commitment to confidentiality guidelines.
NMIS Requirement Non-registered Fingerprinted.

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.

Required Certifications:

Non-Registered Fingerprinted - 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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Please note: Any wages or wage ranges listed directly on a specific job requisition or posting will supersede corresponding wage ranges listed within Pay Transparency Guide linked above.​


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.