What's the Role?
As a Supervision Support Sr. Specialist, you will become an integral partner between Home Office, Field Advisors and Field Leadership. You will perform transactional reviews, while providing direct feedback and education on Northwestern Mutual policies and procedures.
You will be responsible for diverse tasks during your day to day work; reviewing an advisor's written correspondence or personal planning analysis tool (PPA), approving a new investment account, and/or reviewing transaction flags through our monitoring system (SMART).
At the core of this role, you will add value by helping our business partners grow their business the right way by performing reviews and support in alignment with regulatory requirements and firm policies. As a Sr Specialist, you will also be responsible for providing feedback and consultation on trends to Field Leadership and internal team members. Additionally, at the direction of the subject matter expert, execute on miscellaneous projects required to improve overall effectiveness of the system, process, and overall program.
What we need from you is a desire to learn the technical aspects, be flexible and agile with processes and enhance our program with your knowledge, capabilities and experiences.
What makes you a great fit for our team?
Are you curious about what compliance does and how we impact the company strategy? Are you interested in learning more about the financial services industry and how we provide our services to our clients? If so, we're looking for you to join our department. As a member of Enterprise Compliance, you'll have the chance to creatively flex your problem-solving and consulting skills in a variety of ways. Our work is constantly evolving and we want team members to help us envision the future of compliance and pursue it with enthusiasm.
Bring Your Best! What this role needs:
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.