Northwestern Mutual · 3 hours ago
Centralized Supervision Specialist
Milwaukee, WI Corporate
Full-time
Hybrid
Entry, Mid Level
$53K/yr - $99K/yr
2+ years expNorthwestern Mutual is a leading financial services company, and they are seeking a Centralized Supervision Specialist to supervise investment and insurance business activities. The role involves ensuring compliance with firm policies and industry regulations while partnering with the field force to support business growth.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Perform review and supervision of securities correspondence, flagged email and social media correspondence between financial representatives and their clients
Approve correspondence in accordance with regulatory requirements, as well as firm policies and procedures. Escalate higher risk flagged correspondence to the appropriate field supervisor for resolution
Perform transaction supervision using compliance monitoring systems (e.g. the Securities Monitoring and Review Tool (SMART)
Work closely with a small number of small to mid-sized Network Offices and their accompanying supervisory teams to ensure appropriate monitoring and supervision is conducted in accordance with regulatory requirements, as well as firm policies and procedures
Play a consultative and advisory role to the field supervisors to review and discuss opportunities for workflow improvement, training, and/or documentation within their network office. Perform suitability review and ultimate approval of newly submitted brokerage and advisory accounts
Work with supervision team to provide feedback and information on the observed trends found by the Supervision Support Team. Information provided outlines areas of concerns associated with the timeliness and/or documentation of supervisory reviews that have been unaddressed and require action to minimize business risk and ensure regulatory compliance
For the assigned supervision and surveillance systems, provide support to the subject matter expert of the respective system (e.g. provide feedback and support with system enhancements to help with implementation). Participate in the discussions related to the creation, testing and implementation of annual system enhancements
At the direction of the subject matter expert, provide value by assisting in the completion of miscellaneous basic projects required to improve the overall effectiveness of the system. Participate as a resource on basic divisional project teams
Qualification
Required
Bachelor's Degree in business, finance or related field and/or equivalent work experience
2 years of experience in a professional level position in insurance or financial services industries required
2 years of professional level experience in core product lines (some combination of life insurance, DI, and LTC), mutual fund, and/or general security related experience
Series 7 24 licenses must be obtained within 6 months
Strong analytical, as well as strong written and oral communication skills needed
Strong foundation on NMIS policy and procedure and regulations is needed
Ability to work with all levels of management within the field and home office
Demonstrated ability to manage multiple issues to resolution in a timely manner while maintaining good relationships with internal and field clients
Ability to understand both business and compliance issues and effectively communicate with both compliances and field sales associates
Company
Northwestern Mutual
Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, and investments.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Timothy Gerend
Chairman, President and CEO
Phil Odella
COO/CFO
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