This role, in collaboration with the Chief Compliance Officers (CCO) of NMIS and WMC, alongside divisional leadership, is entrusted with delivering advanced support and consultation throughout the enterprise. It is tasked with fostering relationships to strengthen the company's compliance and supervision culture, particularly in relation to Annuity and Variable Life products, while ensuring the achievement of business objectives.
Primary Duties and Responsibilities
- Responsible for designing and executing supervision approach including standards and workflows for Annuity and Variable Life products across the enterprise with the objective of advancing the company's culture of compliance while achieving business targets.
- Lead and actively manage the supervision of annuity cases, ensuring compliance with regulatory standards and company policies, while providing expert guidance and oversight to the team. Responsible for the supervision of higher complexity Annuity and Variable Life products.Develop and deliver comprehensive training programs to educate and empower the team, ensuring they are well-informed on the latest industry practices, regulatory updates, and company procedures related to annuity supervision.
- Understand applicable rules and regulations to independently identify, assess and consult to the mitigation of risk with enterprise business partners for Annuity and Variable Life products. Identify and assess compliance implications to form new and/or make updates to rules and regulations.
- Resolve complex or unusual compliance and supervision issues (including Advisor escalations) in partnership with business partners while effectively communicating with divisional leadership and across enterprise stakeholders to ensure alignment.
- Serve as a SME on areas of specialized technical expertise for partners on behalf of Enterprise Compliance.
- Represent Supervision's needs and feedback in the appropriate technology forums, advocating for prioritization of necessary Supervision capabilities. Participate in projects or efforts in support of the division or department priorities/objectives as needed.
Qualifications
- Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
- FINRA series 6 and 26 or 7 and 24 required.
- Minimum of 6 years of relevant experience. Experience in financial services preferred.
- Experience in annuities, securities/insurance operations, information technology, law, regulatory, audit, or testing preferred.
- Strong organizational leadership presence and proven ability to cultivate relationships and influence individuals at all levels of the organization.
- Understanding of the financial services / insurance / securities industry.
- Ability to cultivate relationships at all levels of the organization.
- Broad knowledge of Northwestern Mutual compliance systems and business model inclusive of the home office and field.
- Ability to direct the resolution of complex business problems by applying advanced critical thinking.
- Ability to communicate complex ideas and assist in anticipating potential oppositions.
#LI-Hybrid
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRAFINRA, Series 26 - FINRA, Series 6 - FINRA, Series 7 - FINRAFINRA
Compensation Range:
Pay Range - Start:
$92,750.00
Pay Range - End:
$172,250.00
Geographic Specific Pay Structure:
205 - Structure 110: 102,060.00 USD - 189,540.00 USD
205 - Structure 115: 106,680.00 USD - 198,120.00 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.
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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.
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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
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- Comprehensive benefits
- Employee resource groups
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At Northwestern Mutual, we believe that our lives and our work matter. And that doing what’s right is good for everyone. We follow through by designing tech that improves the community and cultivating creative ways to make finance accessible anywhere. These guiding principles have allowed our company to grow for more than 160 years.
Here, you’ll be with a team who emphasizes integrity and prioritizes security to design experiences that better everyone. You’ll work in cross functional teams to create optimal solutions that are rooted in innovative strategy and thoughtful execution. And you’re provided development tools and opportunities to become a leader all with the support of a collaborative team. You’ll be surrounded in a culture that values innovation and works to always evolve to stay ahead of trends and client needs.
We are intentional in seeking out team members who will challenge us. Our employees choose us for the career opportunities, commitment to philanthropy and desire to have a meaningful impact in the lives of our clients. You have career passions and goals. We have ambition and opportunity for you to grow your future in tech. Discover today: https://careers.northwesternmutual.com/
Why Work With Us
We invest in our people. We know careers are about choices, so we provide intentional opportunity. Here you can build creative ways to make finance accessible anywhere and revolutionize traditional processes. As a mutual company, our focus is our people — whether professional development or investments in the community.
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Employees engage in a combination of remote and on-site work.
We offer a flexible, hybrid approach for our employees . Teams are in the office a few days a week and work from home the others.
