Compliance Sr. Specialist

About The Role

Assist the Vice Presidents of Distribution Performance, and their Regional Oversight and Engagement teams in the ongoing support and delivery of Compliance and Supervision consultation to Field Leadership, Financial Representatives, and Home Office business partners. Provide consultative support on anything from appropriate sales practices to implementation of policies and procedures. In addition, you will provide support for various divisional, departmental and enterprise-wide projects as subject matter expert. Educate and train Representatives and their staff while performing branch inspections while striving to improve divisional work processes. Collaborate with field leadership in developing, implementing, and executing risk management plans for their local offices.

What You'll Do

• Complete on-site inspections and annual reviews of books and records of Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.
• Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry regulations.
• Reviews and inspections consist of the following: Consult with Regional Oversight and Engagement team to assist with the creation and implementation Network Office specific solutions to material and ongoing compliance issues; and ability to document, draft, and follow-up with detailed reports regarding field offices and individual registered representative visits; and document observations and findings of sales practices through interviews with field management and registered representatives.
• Effectively communicate, educate, train, and consult to registered representatives, field management, field supervisors and home office personnel regarding federal and state securities/insurance regulations and Northwestern Mutual compliance policies and procedures.
• Partner with Network Office Supervision teams, the Regional Oversight and Engagement teams and home office Distribution Performance teams to assist with the assessment and improvement of current compliance and supervision processes.
• Provide support for various divisional, departmental and enterprise wide projects as subject matter expert. This requires collaboration and communication with various levels of internal and external associates, review of relevant documentation and interpretation and application of industry regulations/state statutes to create efficiencies, mitigate firm risk, and comply with industry regulations.
• Execute on certain oversight and supporting tasks designed to provide additional insight into Network Offices' business activities.
• Maintain a strong knowledge of: regulations, industry standards, company policies/practices, NM distribution systems, products, and culture in order to make independent decisions; consult with appropriate team resources as needed, and drive highly effective communication.
  
  

What You'll Bring To The Role

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
• FINRA Series 7 & 24 required.
• Minimum of 4 year of relevant experience. Experience in insurance, investment, or financial services industry preferred.
• Knowledge of Microsoft Office with strong emphasis on Excel proficiency.
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
• Proven success in establishing effective team relationships.
• Ability to solve problems by analyzing all possible solutions using technical experience, judgement, and precedent.
• Ability to explain difficult or sensitive information.
  
  

Candidates must successfully complete and pass any required testing.Series 24 - FINRAFINRA, Series 7 - FINRAFINRA, SIE - FINRAFINRA

Compensation Range

Pay Range - Start:

$61,530.00

Pay Range - End

$114,270.00

Structure 110

Geographic Specific Pay Structure:

$67,690.00 USD - $125,710.00 USD

Structure 115

$70,770.00 USD - $131,430.00 USD

We believe in fairness and transparency. It’s 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 you’re 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.

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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.

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 our commitment to a culture of belonging.

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