Compliance Supervision Sr. Specialist

3 weeks ago

Milwaukee, United States Northwestern Mutual Full time

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative and growing.
We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.
We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.
What you will do:
The Compliance Supervision Sr. Specialist will supervise investment and insurance business and activity, in a collaborative team environment to ensure compliance with firm policies and industry regulations. They will partner with Northwestern Mutual field force daily to help them grow their business the right way.
How you will do it:

  • Perform review and supervision of securities correspondence, flagged email and social media correspondence between financial representatives and their clients.
  • Approve correspondence in accordance with regulatory requirements, as well as firm policies and procedures. Advance higher risk flagged correspondence to the appropriate field supervisor for resolution.
  • Perform transaction supervision using compliance monitoring systems (e.g. the Securities Monitoring and Review Tool [SMART])
  • Work closely with a small number of small to mid-sized Network Offices and their accompanying supervisory teams to ensure appropriate monitoring and supervision is conducted in accordance with regulatory requirements, as well as firm policies and procedures.
  • Play a consultative and advisory role to the field supervisors to review and discuss opportunities for workflow improvement, training, and/or documentation within their network office. Perform suitability review and ultimate approval of newly submitted brokerage and advisory accounts.
  • Work with supervision team to provide feedback and information on the observed trends found by the Supervision Support Team. Information provided outlines areas of concerns associated with the timeliness and/or documentation of supervisory reviews that have been unaddressed and require action to minimize business risk and ensure regulatory compliance.
  • For the assigned supervision and surveillance systems, provide support to the subject matter expert of the respective system (e.g. provide feedback and support with system enhancements to help with implementation). Participate in the discussions related to the creation, testing and implementation of annual system improvements.
  • At the direction of the subject matter authority, provide value by assisting in the completion of miscellaneous basic projects required to improve the overall effectiveness of the system. Participate as a resource on basic divisional project teams.


Bring your best This role needs:

  • Bachelor's Degree in business, finance or related field and/or equivalent work experience.
  • 3 years of experience in a professional level position in insurance or financial services industries required.
  • 3 years of professional level experience in core product lines (some combination of life insurance, DI, and LTC), mutual fund, and/or general security related experience.
  • Series 7 & 24 licenses or Series 6 & 26.
  • Strong analytical, as well as strong written and oral communication skills needed.
  • Strong foundation on NMIS policy and procedure and regulations is needed.
  • Ability to work with all levels of management within the field and home office.
  • Demonstrated ability advancing multiple issues to resolution in a timely manner while maintaining good relationships with internal and field clients.
  • Ability to understand both business and compliance issues and effectively connect with both compliance and field sales associates.


Centralized Supervision Consultant (P3): Will be considered with additional supervision experience and/or FINRA licensing. (Series 9/10)
Benefits:
Great pay package, 401K, company sponsored retirement plan, educational assistance, performance based incentive pay, medical, dental and vision insurance, parental leave, caregiver time off....and more
#LI-Hybrid
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
Compensation Range:
Pay Range - Start:
$59,150.00
Pay Range - End:
$109,850.00
Northwestern Mutual pays on a geographic-specific 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 location-based pay structures.
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 California, Colorado, New York City, Washington 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.

  • Flexible work schedules
  • Concierge service
  • Comprehensive benefits
  • Employee resource groups

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