Compliance Sr Specialist
Compliance Sr Specialist
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1 Vacancy
Job Description
At Northwestern Mutual we are strong innovative and growing. We invest in our people. We care and make a positive difference.
Summary
Assist the Vice Presidents of Distribution Performance and their Regional Oversight and Engagement teams in the ongoing support and delivery of Compliance and Supervision consultation to Field Leadership Financial Representatives and Home Office business partners. Provide consultative support on anything from appropriate sales practices to implementation of policies and procedures. In addition you will provide support for various divisional departmental and enterprisewide projects as subject matter expert. Educate and train Representatives and their staff while performing branch inspections while striving to improve divisional work processes. Collaborate with field leadership in developing implementing and executing risk management plans for their local offices.
Primary Duties & Responsibilities
Complete onsite inspections and annual reviews of books and records of Offices of Supervisory Jurisdiction Registered Branch Offices and other field locations as required by FINRA.
Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry regulations.
Reviews and inspections consist of the following: Consult with Regional Oversight and Engagement team to assist with the creation and implementation Network Office specific solutions to material and ongoing compliance issues; and ability to document draft and followup with detailed reports regarding field offices and individual registered representative visits; and document observations and findings of sales practices through interviews with field management and registered representatives.
Effectively communicate educate train and consult to registered representatives field management field supervisors and home office personnel regarding federal and state securities/insurance regulations and Northwestern Mutual compliance policies and procedures.
Partner with Network Office Supervision teams the Regional Oversight and Engagement teams and home office Distribution Performance teams to assist with the assessment and improvement of current compliance and supervision processes
Provide support for various divisional departmental and enterprise wide projects as subject matter expert. This requires collaboration and communication with various levels of internal and external associates review of relevant documentation and interpretation and application of industry regulations/state statutes to create efficiencies mitigate firm risk and comply with industry regulations.
Execute on certain oversight and supporting tasks designed to provide additional insight into Network Offices business activities
Maintain a strong knowledge of: regulations industry standards company policies/practices NM distribution systems products and culture in order to make independent decisions; consult with appropriate team resources as needed and drive highly effective communication.
Qualifications
Bachelors Degree Preferred or equivalent combination of education and experience preferred.
FINRA Series 7 & 24 required.
Minimum of 4 year of relevant experience. Experience in insurance investment or financial services industry preferred.
Knowledge of Microsoft Office with strong emphasis on Excel proficiency.
Ability to prioritize workload and seek support when appropriate as well as work within a larger team.
Proven success in establishing effective team relationships.
Ability to solve problems by analyzing all possible solutions using technical experience judgement and precedent.
Ability to explain difficult or sensitive information
#LIHybrid
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 FINRACompensation Range:
Pay Range Start:
Pay Range End:
Northwestern Mutual pays on a geographicspecific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills education training credentials and experience of the candidate; the scope complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to locationbased pay structures.
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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.
If you work or would be working in California Colorado New York City Washington or outside of a Corporate location please click here for information pertaining to compensation and benefits.
Required Experience:
Senior IC
Employment Type
Full-Time
