Compliance and Registration Specialist - Hybrid

The CLR Specialist will perform an array of functions relating to contracts licensing registrations terminations and support. The CLR Specialist role requires a processoriented individual with strong communication and collaboration skills along with an understanding of processes and systems. The successful candidate will be able to take a resultsdriven approach to deliver the desired outcomes in a fastpaced and dynamic environment while adapting to changing regulatory processes. There is also an opportunity to collaborate on process improvement projects quality and audit requests

Primary Duties and Responsibilities

• Acts independently using comprehensive expertise along with the tools and resources available to effectively service contract license and registration requests from Field Offices in order to contract and register prospective Financial Representatives.

• Requests involve highly confidential sensitive and complex situations that require the utmost attention to detail and high emphasis on relationship management.

• Accountable for maintaining the high integrity of our field force and for ensuring compliance with company and regulatory requirements.

• Coordinates requests that cross division or department lines.

• Acts independently to implement and oversee the policies procedures and daytoday operations of the division to provide timely effective underwriting of prospective new financial representatives in support of NMs field force.

• Provides technical guidance and training to the field and divisional staff.

• Provides administrative leadership mentoring and training within the division.

• Participates in project teams to enhance service and ensure full compliance with Company state and regulatory standards.

• Represents CLR as a subject matter expert for projects and special assignments. Provides input on processes and procedures understands the impact to the team and to the field as changes are implemented. May assist in documenting and developing new procedures and sharing this information with impacted parties.

• Guides divisional staff in all areas of responsibilities through daily written and verbal referrals of cases from CLR analysts. This includes new agent contracting and registration; compliance with state licensing and Company appointment requirements; adherence to FINRA registration reporting and compliance requirements; provides manager with input for annual and semiannual reviews.

• Serves as a coach and mentor when working directly with Home Office staff on sensitive and complex casework training and process improvements.

• Handles case referrals by divisional CLR analysts. Makes recommendations or provides final decision on situations within authority limits.

• Consults with Compliance Law WMC systems other departments and CLR and independently negotiates resolutions to various cases processes and situations which are often complex and highly confidential and at times involving questionable criminal and financial backgrounds.

• Reviews FBI fingerprint results works diligently to resolve any discrepancies in information or fingerprint hits and determines appropriate course of action.

• May serve as a technical specialist and provide advanced direction and support to home office field staff and management in the areas of securities and license registrations Registered Branch Office (RBO) filings and amendments Advisory Credentialing and oversight for exception reporting and NMIS billing.

• Ensures data integrity of the NMFN Agents database using various reconciliation methods e.g. reviews FINRA online reports reviews and corrects data input errors coaches employees and/or recommends system solutions to reduce errors where warranted.

• Conducts audits to ensure Home Office staff maintains a high level of accuracy and timeliness with their work.

• Proactively and independently identifies improvement opportunities presents solutions and is able to implement and monitor those solutions.

• Assists in monitoring and balancing workflow to ensure a high level of service is provided to all customers and there are no backlogs.

• May monitor WebCRD account balance and initiate deposits as needed.

• May facilitate payment of the annual renewal bill or act as a backup.

• Acts as back up for manager.

Qualifications

• Degree in business or related field or equivalent in experience plus minimum of 3 years of customer service experience with accountability for casework and full case resolution.

• Demonstrated excellent customer service skills.

• Strong verbal and written communication skills with the ability to interact with both the field force and home office clients at all levels.

• Strong demonstrated skills in analyzing complex information problem solving applying concepts and judgment and independent decisionmaking

• High level of organization and followthrough.

• Able to identify and establish priorities to meet deadlines on multiple assignments and cases.

• Decisionmaking problemsolving skills

• Two or more years of experience attaining full proficiency in the areas of contracting licensing and/or registration.

• Experience working with NMs field force.

• Obtain the Series 6 and Series 26 within 1 year of hire.

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

Required Certifications:

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.

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