Standards and Governance Specialist

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
Location: Milwaukee
Schedule: Hybrid three days - Monday/Tuesday are required. The third day is the preference of the employee.
Summary:
Provide technical guidance to the field and Home Office management to ensure that financial representatives meet Company standards both in acquiring and maintaining NM contracts, registrations, and licenses. Coordinate research and analysis to resolve cases involving Enterprise Risk Assurance, the Law department, and Field leadership.
Primary Duties & Responsibilities:

• Manage, monitor, and proactively adjusting workflow to ensure and support efficient and timely processes. Responsible for making updates to appropriate team policies and procedures.
• Coordinate the handling of difficult and sensitive cases/transactions related to regulatory requirements, policies, procedures, complaints, and errors requiring a high degree of technical knowledge, sensitivity, critical thinking and judgement.
• Evaluate and work with leadership to grant exceptions to established practices, procedures when appropriate.
• Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective new agents in support of NM's field force.
• Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective home office employees in support of NM's home office operations.
• Provide technical consultation and training to the field and divisional staff. Assist project teams to enhance service and ensure full compliance with company, state, and regulatory standards.
• Provide guidance to home office and field clients in understanding and addressing risks, ensuring policies, procedures and controls are in place to manage risks.

Knowledge, Skills, & Abilities:

• Bachelor's degree or an equivalent combination of education and progressively responsible work experience.
• FINRA Series 6 and 26 required
• FINRA 7 and 24 preferred
• Minimum of 3 years relevant experience, preferably in Legal & Regulatory work
• Ability to develop solid rapport with home office and field members.
• Demonstrated experience in leading process improvement, system enhancements and/or committee efforts through development and implementation.
• Demonstrated high level of organization and follow through with the ability to effectively identify and independently establish priorities and meet deadlines on multiple assignments with high quality results.
• Excellent written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with all levels in the department, the company, and the field to obtain maximum operational efficiency.
• Strong commitment to confidentiality guidelines.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:
Series 26 - FINRA, Series 6 - FINRA
Compensation Range:
Pay Range - Start:
$48,580.00
Pay Range - End:
$90,220.00
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