Northwestern Mutual
Compliance Sr. Specialist
Milwaukee, WI Corporate · Senior
Sponsorship not specifiedDetected 41 days ago
ExcelLeadershipCommunicationCollaborationMicrosoft Office
About the role
- Educate and train Representatives and their staff while performing branch inspections while striving to improve divisional work processes.
Responsibilities
- 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.
- 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.
Requirements
- Candidates must successfully complete and pass any required testing.Series 24 - FINRAFINRA, Series 7 - FINRAFINRA, SIE - FINRAFINRA
Nice to have
- 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.
- 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.
Compensation
- Pay Range - Start:
- Pay Range - End:
- Geographic Specific Pay Structure:
- Structure 110:
- $77,360.00 USD - $116,040.00 USD
- Structure 115:
Benefits
- Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
Equal opportunity
- Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds.
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This listing is sourced directly from Northwestern Mutual's careers page and normalized into a canonical job model.