An integral consulting partner between the Home Office, our Field Supervision teams and Financial Representatives. Working directly with Sr. Leaders around the organization, including but not limited to Distribution Performance, Practice Management, Marketing and Law as well as Field Leadership and Financial Representatives; review and assess Outside Business Activities and Passive Investments disclosures as required by Enterprise policy and regulatory requirements, as well as consult to internal requests and projects as subject matter expert. High degrees of direct consulting, technical expertise and working with ambiguity are required for this position.

Primary Duties and Responsibilities

• Principal review, assessment and approval or rejection of applicable Outside Business Activities and Passive Investments in accordance with Enterprise policies and within our service level agreements.
• Partner with home office stakeholders on new initiatives or requests to identify regulatory and Enterprise risks. Complete risk assessment and provide options for stakeholders to address their request.
• Build rapport with field leadership and supervision teams, as well as internal business partners and maintain good relationships.
• Assist other Enterprise Compliance partners in addressing OBA, Passive Investment and other regulatory assessments as required.
• Ability to work in a dynamic environment, provide consistent messaging and deliver difficult messages is required.
• Ability to work with Market Conduct and partners in Law Department to respond to regulatory inquiries and other legal matters.
• Ability to work with Field Leadership and Distribution Performance leadership relating to complex, higher risk requests and assist in difficult messaging or recommendations.
• Work closely with Oversight and Engagement division within Enterprise Compliance to ensure awareness and alignment on risk factors and local decision making.
• Train new Field Supervisors/Leadership and Field Engagement team members on Outside Business Activities, Passive Investment and similar regulatory obligations.
• Serve as subject matter expert for the Outside Business Activity Portal, communicating updates with field and home office users when necessary, and partnering with the technology and engineering teams on prioritization, planning, and implementation of required fixes and enhancements.

Qualifications

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
• FINRA Series 7 and 24 required.
• Minimum of 6 year of relevant experience. Experience in insurance, investment, or financial services industry preferred.
• Good verbal and written communication skills are required.
• Working knowledge of Microsoft Office, and ability to learn and use other technology such as the Outside Business Activity Portal, WebCRD, and other technology with a high degree of accuracy.
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
• Sound decision-making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills. Project management experience is preferred.
• Proven success in establishing effective team relationships.
• Ability to identify and solve complex, operational and organizational problems leveraging the appropriate resources within or outside the division
• Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to adopt a different point of view

#LI-Hybrid

Candidates must successfully complete and pass any required testing.Series 24 - FINRAFINRA, Series 7 - FINRAFINRA, SIE - FINRAFINRA

Compensation Range:

Pay Range - Start:

$69,720.00

Pay Range - End:

$129,480.00

Geographic Specific Pay Structure:

Structure 110:

$76,720.00 USD - $142,480.00 USD

Structure 115:

$80,150.00 USD - $148,850.00 USD

We believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!

Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

Skills

Strategic Thinking (NM) - Advanced, Policy & Procedure (NM) - Advanced, Continuous Improvement (NM) - Advanced, Industry Knowledge (NM) - Advanced, Risk Assessment & Identification (NM) - Advanced, Decision Making (NM) - Advanced, Attention to Detail (NM) - Advanced, Compliance Metrics, Monitoring & Reporting (NM) - Advanced, Cross Functional Partnering & Planning (NM) - Intermediate, Project Management (NM) - Intermediate

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 our commitment to a culture of belonging.

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

PandoLogic. Category:Finance, Keywords:Financial Broker, Location:Milwaukee, WI-53205