Înființată în 1869 și cu sediul în Milwaukee, Northwestern Mutual activează în domeniul serviciilor financiare și al asigurărilor. Oferta sa include asigurări de viață, de invaliditate și pentru îngrijire pe termen lung, planificare financiară și strategii de investiții, furnizate printr-o rețea de consilieri financiari. Compania pune accent și pe tehnologie și inovare în activitatea sa de servicii financiare. Profilul său evidențiază dezvoltarea angajaților și preocuparea pentru un mediu de lucru flexibil și sprijinitor; persoanele aflate în căutarea unui loc de muncă pot consulta oportunitățile actuale pentru a afla ce roluri sunt disponibile și care sunt detaliile acestora.
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.
Descriere
- 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.
Cerințe
- 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.
Beneficii
- 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.