Founded in 1869 and based in Milwaukee, Northwestern Mutual operates in financial services and insurance. Its offerings include life, disability, and long-term care insurance, financial planning, and investment strategies delivered through a network of financial advisors. The company also emphasizes technology and innovation in its financial services work. Its profile highlights employee development and a focus on flexible, supportive work; job seekers can explore its current opportunities to learn about available roles and their details.
Compliance Specialist — Northwestern Mutual
Support compliance across Northwestern Mutual’s financial planning, insurance, and wealth management operations. Monitor regulatory risks, investigate concerns, and assist Field Supervisors across Minnesota.
Apraksts
- Help Field Supervisors keep operational, sales, and service activities aligned with applicable laws, regulations, and company policies.
- Review supervisory reports, conduct inspections and interviews, and monitor supervised individuals.
- Bring potential concerns, exceptions, and inconsistencies to Field Supervisors’ attention.
- Research and help investigate suspected compliance, supervisory, and regulatory issues.
- Keep accurate records of supervisory work, compliance reviews, investigations, and outcomes.
- Follow books and records requirements, including proper document retention and organization.
- Recommend and help carry out goals, strategies, corrective actions, and process improvements.
- Build and maintain knowledge of FINRA, SEC, AML, state insurance and securities regulations, and supervisory requirements.
- Assess and communicate compliance, operational, reputational, and regulatory risks.
- Complete required training and continuing education, applying what you learn to compliance and supervisory work.
Prasības
- Hold FINRA Securities Industry Essentials (SIE), Series 7, Series 63, and a resident state life insurance license, or be able to obtain them within 180 days of hire.
- Obtain FINRA Series 9 and Series 10 within 270 days of hire.
- Be able to complete required internal training.
- Be able to travel locally around Minnesota as needed.
- Be able to take occasional out-of-state trips as required.
- Bring strong relationship management skills.
- Be detail-focused and data-oriented, with sound critical thinking, organizational, and analytical skills.
- Manage time effectively and prioritize multiple tasks.
- Show a willingness to learn and find solutions using available resources.
- Maintain accuracy while meeting daily deadlines.
- Communicate effectively in writing and verbally.
Priekšrocības
- Receive an additional $5,000 in salary after successfully obtaining the SIE, Series 7, Series 63, and state life, accident, and health insurance license.
- Receive an additional $5,000 in salary after successfully obtaining Series 9 and Series 10.
- Build a career path toward becoming a qualified Field Supervisor while pursuing professional licenses.
- Access required training and continuing education programs.