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Oversight & Engagement Consultant

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

What’s the role?

You’ll become an integral consulting partner between the Home Office and our Field.  You’ll work directly with Field Leadership and Advisors to learn their business and provide direct feedback and guidance on how they can grow their business, the right way.  You’ll perform branch inspections, educate and train Advisors and their staff, and provide ongoing consultative support to the Field and within the Home Office.  In this role, you’ll analyze transaction data and supervisory documentation to help hone in on where we can provide coaching and feedback to our field and home office partners on how to effectively manage risk in a dynamic regulatory environment .  You’ll collaborate across our division, department, and the company on anything from appropriate sales practices, the review of outside business activities, to consulting on implementation of policies and procedures to improving divisional work processes.  You’ll engage with senior Home Office leaders and your team members to enable our Field Leaders to manage compliance and supervision risks within their network offices.  

What makes you a great fit for our team?

  • Deliver business results by combining your skills and capabilities in a dynamic business environment

  • Forward thinker with an ability to anticipate problems and propose recommendations on how to solve for them

  • A self‐directed learner who demonstrates a strong sense of ownership and accountability

  • Able to simplify complex ideas and flex your style to effectively communicate amongst many audiences

  • Move quickly with enough due diligence to work with and through limited information

  • Know how to gather and use data in problem-solving and able to communicate understanding to achieve effective decision making

  • Learn, take risks, and be open to feedback as part of personal learning and development

  • Work in a collaborative team environment to help achieve common goals

Why compliance? 

Are you curious about what compliance does and how we impact the company strategy?  Are you interested in learning more about the financial services industry and how we provide our services to our clients? If so, we’re looking for you to join our department.  As a member of Enterprise Compliance, you’ll have the chance to creatively flex your problem-solving and consulting skills in a variety of ways. Our work is constantly evolving and we want team members to help us envision the future of compliance and pursue it with enthusiasm.  

Bring Your Best!  What this role needs:

  • Minimum of Bachelor’s degree is required. Candidates with Bachelors in Business or Economics are encouraged to apply.

  • 7+ years professional experience; at least 3 years in experience in financial services

  • FINRA Series 7 and 24 required; ability to obtain within 6 months

  • Ability to travel up to 30%

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Candidates must successfully complete and pass any required testing. 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.