Standards and Governance Specialist
Standards and Governance Specialist
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$ 99190 - 99190
1 Vacancy
Job Description
Location: Milwaukee
Schedule: Hybrid three days Monday/Tuesday are required. The third day is the preference of the employee.
Summary:
Provide technical guidance to the field and HomeOffice management to ensure that financialrepresentatives meet Company standards both inacquiring and maintaining NM contracts registrationsand licenses. Coordinate research and analysis to resolve cases involving Enterprise RiskAssurance the Law department and Field leadership.
Primary Duties & Responsibilities:
- Manage monitor andproactively adjusting workflow to ensure andsupport efficient and timely processes. Responsible for making updates to appropriate team policies and procedures.
- Coordinate the handling of difficultand sensitive cases/transactions related toregulatory requirements policies procedures complaints and errors requiring a high degreeof technical knowledge sensitivity criticalthinking and judgement.
- Evaluate and work with leadership to grant exceptions to establishedpractices procedures when appropriate.
- Support the daytoday operations of the division byensuring the timely and effective underwriting ofprospective new agents in support of NMs field force.
- Support the daytoday operations of the division by ensuring the timely and effective underwriting of prospective home office employees in support of NMs home office operations.
- Provide technical consultation and training to the fieldand divisional staff. Assist project teams to enhanceservice and ensure full compliance with companystate and regulatory standards.
- Provide guidance to home office and field clients inunderstanding and addressing risks ensuring policiesprocedures and controls are in place to manage risks.
Knowledge Skills & Abilities:
- Bachelors degree or an equivalent combination of educationand progressively responsible work experience.
- FINRA Series 6 and 26 required
- FINRA 7 and 24 preferred
- Minimum of 3 years relevant experience preferably in Legal & Regulatory work
- Ability to develop solid rapport with home office and field members.
- Demonstrated experience in leading process improvementsystem enhancements and/or committee efforts throughdevelopment andimplementation.
- Demonstrated high level of organization and follow throughwith the ability to effectively identify and independentlyestablish priorities and meet deadlines on multiple assignments with high qualityresults.
- Excellent written and verbal communication skills with theability to positively influence work cooperatively andnegotiate with all levels in the department the company and the field to obtainmaximum operational efficiency.
- Strong commitment to confidentiality guidelines.
Compensation Range:
Pay Range Start:
Pay Range End:
$90220.00Geographic Specific Pay Structure:
We believe in fairness and transparency. Its 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 youre 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.
Grow your career with a bestinclass company that puts our clients interests at the center of all we do. Get started now!
Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. 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.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
