Description
About the Job:
Lead technical expert and advisor to the field and home office departments regarding compliance issues and maintains a broad knowledge of Northwestern Mutual’s compliance programs, industry expectations and regulatory environment. Responsible for managing relationships across the Field Function and to proactively and effectively manage risk within our field offices and compliance program according to our company risk appetite. The individual will represent the department in a lead role in integrating compliance and supervision into efforts to advance the enterprise strategy, execute on policy development and administration in alignment with emerging regulations and the company strategy and may have responsibility for one or more operational functions within enterprise compliance.
What You'll Do:
Manage relationships with Field Function, senior field leadership and other areas of the organization on behalf of enterprise compliance, focused on enabling strategic business objectives while managing risk according to company risk appetite.
Partner with the Vice Presidents of Distribution Performance and their teams to develop, manage and execute on risk assessment and management strategies within our network offices.
Anticipate complex business issues that impact effectiveness of local supervision risk management. Influence and negotiate across the enterprise, at and above job level to balance risk practices with maximized business results.
Partner with business units and other risk functions to design, implement and oversee compliance policies, procedures and controls related to implementation of business strategies. Policy setting is cross-functional in scope and may impact entire field force, all current clients and potential consumer markets. Issues are unique and solutions typically differ from historical company or industry precedent.
Duties may include:
Branch & representative inspections
Oversight activities
Supervisory calls with home office and field leadership
Addressing of non-standard behavior and identified risks
Supervision risk assessment score aggregation, delivery and risk management plan implementation
Serve as a front line people leader for 4-6 Oversight & Engagement personnel and has responsibility for overall performance management of their direct reports.
Train new Oversight & Engagement team members and Vice Presidents of the Field Function on enterprise compliance and supervision program.
What You'll Bring to the Role:
FINRA series 7 & 24 required.
Bachelor’s degree in business, finance, information technology or related field.
Minimum of 10 years of progressively responsible work experience in securities/insurance operations, information technology, law and/or compliance.
Broad knowledge of Northwestern Mutual compliance programs, industry and regulatory environment.
Expert consulting, communication, and negotiating skills
Strong leadership presence and proven ability to influence individuals at all levels of the organization and navigate the political environment with savvy.
Ability to work independently and within a small team of other experts to solve complex problems with an enterprise mindset.
High degree of self-motivation demonstrating leadership and initiative in sharing information, contributing toward team objectives and accepting responsibility for results.
Ability to effectively, manage, motivate and develop talent.
Proven ability to build trust, establish and maintain constructive and effective relationships, build rapport at all levels and to use diplomacy and tact.
Demonstrated ability to manage multiple issues to resolution in a timely manner while maintaining good relationships with internal and field clients.
Demonstrated ability to think strategically, to anticipate future consequences and trends accurately, to articulate credible possibilities and develop actionable strategies.
Ability to travel 10-25% of the time.
#LI-Hybrid
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA, SIE - FINRACompensation Range:
Pay Range - Start:
$108,160.00Pay Range - End:
$162,240.00Geographic Specific Pay Structure:
Structure 110:
$118,960.00 USD - $178,440.00 USDStructure 115:
$124,400.00 USD - $186,600.00 USDWe believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
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Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
Skills
Attention to Detail (NM) - Advanced, Cross Functional Partnering & Planning (NM) - Advanced, Compliance Metrics, Monitoring & Reporting (NM) - Advanced, Strategic Thinking (NM) - Advanced, Project Management (NM) - Advanced, Policy & Procedure (NM) - Advanced, Continuous Improvement (NM) - Advanced, Industry Knowledge (NM) - Advanced, Risk Assessment & Identification (NM) - Advanced, Decision Making (NM) - Advanced
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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 our commitment to a culture of belonging.
