Supervision Leadership Expert

1 week ago


Irvine, California, United States Northwestern Mutual Full time

Job Overview:

The Compliance Risk Manager position at Northwestern Mutual involves supporting senior leadership in establishing a robust compliance culture within the office. This role requires expertise in implementing effective risk management strategies and ensuring adherence to regulatory requirements.

Key Responsibilities:

  • Oversee the review and supervision of various systems to identify potential risks and ensure compliance with regulations.
  • Collaborate with Financial Representatives and field staff to implement risk management policies and procedures.
  • Maintain accurate records and files for the offices under supervision.
  • Develop and deliver compliance training programs to ensure employees understand their roles in maintaining a compliant environment.
  • Conduct regular audits and assessments to identify areas for improvement and ensure continuous compliance.

Requirements:

  • Bachelor's degree in a relevant field.
  • Proven experience in compliance/risk management in the financial services industry.
  • Relevant professional certifications (e.g., CA life/accident/health, Series 7, Series 63, SIE).
  • Excellent communication and interpersonal skills.

Salary Range: $150,000 - $220,000 per year, commensurate with experience and qualifications.



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