Compliance & Supervision Consultant

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 information.
• Learn to take risks, be open to giving and receiving feedback and have the desire to grow and develop
• Explains/coaches others in straightforward situations

#LI-Hybrid
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:
Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA
Compensation Range:
Pay Range - Start:
$69,720.00
Pay Range - End:
$129,480.00
Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.
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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.
If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.
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 commitment to diversity and inclusion.

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