Compliance & Supervision Consultant

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Summary:

• Perform supervision of multiple of the following types of activity and manage case workloads: transaction monitoring flags, annuities, new accounts, middle-office operations, PPA/PX plans, securities correspondence, email messages, social media posts/messages, and life insurance suitability supplements.
• Provide service and consulting to and communicate with FRs and field staff as appropriate, including fielding phone queue calls.
• Communicate, partner, and build relationships with field supervisors and individuals in other areas of home office as appropriate.
• Participate in and lead project work both within and outside of Centralized Supervision.
• Perform quality assurance reviews and provide feedback to peers and/or contractors.
• Act as technical resource for team on more complex matters and provide training and coaching to others across the team.
• In the electronic communication space, potentially informally manage and coach contractors performing email review.
• As a potential pod lead within the Centralized Supervision team, manage pod workflows, coach and mentor pod members, conduct periodic calls with field supervisors to address trends, partner with Field Engagement regional counterparts, handle complex case escalations.

Knowledge, Skills, Abilities:

• Bachelor’s Degree Preferred or equivalent combination of education and experience preferred.
• Minimum of 6 year of relevant experience. Experience in insurance or financial services industry preferred. Minimum of 5 years of financial services compliance or supervision experience.
• FINRA series 7 & 24 required within 6 months.
• FINRA series 9 or 10 preferred.
• Strong ability to coach and mentor others on the team.
• Strong written and oral communication skills.
• Ability to solve complex problems; take a new perspective on existing solutions, exercise judgement based on the analysis of multiple sources of information.
• Explains/coaches others in straightforward situations.

#LI-HYBRID

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 – FINRA, Series 7 – FINRA, SIE – FINRA

Compensation Range:

$69,720.00

Pay Range – End:

$129,480.00

190 – Structure 110: 76,720.00 USD – 142,480.00 USD190 – Structure 115: 80,150.00 USD – 148,850.00 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

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