Supervision Leadership Expert
1 week ago
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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