Northwestern Mutual · 9 hours ago
Centralized Supervision Consultant
Milwaukee, WI Corporate
Full-time
Hybrid
Mid, Senior Level
$71K/yr - $132K/yr
6+ years expNorthwestern Mutual is a leading financial services company, and they are seeking a Centralized Supervision Consultant to lead and coach team members in supervising investment and insurance activities. The role involves managing case workloads, providing consulting services, and participating in projects to enhance business practices.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
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, 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
Qualification
Required
Minimum of 6 year of relevant experience
Minimum of 5 years of financial services compliance or supervision experience
FINRA series 7 & 24 required within 6 months
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
Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality
Compliance Metrics, Monitoring & Reporting: Establishes, analyzes and interprets compliance metrics. Defines and implements monitoring controls in order to communicate compliance status, risks, trends and monitors results to stakeholders
Industry Knowledge: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape within a particular industry / sector to better understand and address unique client requirements, challenges, and context
Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations
Risk Assessment & Identification: Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business
Preferred
Bachelor's Degree Preferred or equivalent combination of education and experience preferred
Experience in insurance or financial services industry preferred
FINRA series 9 or 10 preferred
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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