Job Information
NORTHWESTERN MUTUAL LIFE INSURANCE Compliance Supervision Consultant in MILWAUKEE, Wisconsin
JOB REQUIREMENTS: At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. Summary: As a Compliance & Supervision Consultant you will become an integral member of the team with a focus on consulting and partnering with various areas of the home office and the field. You will work directly with field supervisors and advisors to help cultivate meaningful relationships while educating advisors on how to efficiently grow their practice in the right way. In this role you will collaborate across the division, department and enterprise regarding supervisory concerns, risk mitigation strategies, sales practice concerns and trends. You\'ll also be responsible for effectively performing supervision duties, delegating work to other team members, and acting as a technical expert and leader by being a talent multiplier. Primary Duties & Responsibilities: Perform supervision of multiple of the following types of activity and manage case workloads: transaction monitoring flags, new accounts, middle-office operations, PPA/PX plans, securities correspondence, email messages, social media posts/messages, annuity transaction and application review, life insurance suitability supplements, and advisory products. 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 & suitability review. As a potential team lead within Centralized Supervision workflows - manage team caseloads and volumes, coach, and mentor team members, conduct periodic calls with field supervisors to address trends, partner with regional counterparts across the home office and 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 or series 6 & 26 required. FINRA series 9 or 10 preferred. Strong ability to coach and mentor others on the team while demonstrating superior verbal and written communication skills. Ability to solve complex problems; take a new perspective on existing solutions, exercise judgement based on the analysis of multiple sources of... For full info follow application link. EEO/AA Employer/Vets/Disability ***** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/4F9DBC47A6224B79 Qualified females, minorities, and special disabled veterans and other veterans are encouraged to apply.