CL&R Regulatory and Compliance Specialist

Job title: CL&R Regulatory and Compliance Specialist

Company: Northwestern Mutual


Job description: Location: MilwaukeeSchedule: Hybrid three days – Monday/Tuesday are required. The third day is the preference of the employee.Summary:Provide technical guidance to the field and Home Office management to ensure that financial representatives meet Company standards both in acquiring and maintaining NM contracts, registrations, and licenses. Coordinate research and analysis to resolve cases involving Enterprise Risk Assurance, the Law department, and Field leadership.Primary Duties & Responsibilities:

• Manage, monitor, and proactively adjusting workflow to ensure and support efficient and timely processes. ​Responsible for making updates to appropriate team policies and procedures.
• Coordinate the handling of difficult and sensitive cases/transactions related to regulatory requirements, policies, procedures, ​ complaints, and errors requiring a high degree of technical knowledge, sensitivity, critical thinking and judgement. ​
• Evaluate and work with leadership to grant exceptions to established practices, procedures when appropriate. ​
• Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective new agents in support of NM’s field force. ​
• Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective home office employees in support of NM’s home office operations.
• Provide technical consultation and training to the field and divisional staff. Assist project teams to enhance service and ensure full compliance with company, state, and regulatory standards.
• Provide guidance to home office and field clients in understanding and addressing risks, ensuring policies, procedures and controls are in place to manage risks.

Knowledge, Skills, & Abilities:

• Bachelor’s degree or an equivalent combination of education and progressively responsible work experience. ​
• FINRA Series 6 and 26 required to be obtained within six months of hire
• FINRA 7 and 24 preferred​
• Minimum of 3 years relevant experience, preferably in Legal & Regulatory work
• Ability to develop solid rapport with home office and field members. ​
• Demonstrated experience in leading process improvement, system enhancements and/or committee efforts through development and implementation. ​
• Demonstrated high level of organization and follow through with the ability to effectively identify and independently establish priorities and​ meet deadlines on multiple assignments with high quality results.
• Excellent written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with all levels in​ the department, the company, and the field to obtain maximum operational efficiency. ​
• Strong commitment to confidentiality guidelines.​

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 26 – FINRA, Series 6 – FINRACompensation Range:Pay Range – Start: $48,580.00Pay Range – End: $90,220.00Geographic Specific Pay Structure: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 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 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.FIND YOUR FUTUREWe’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

Expected salary:

Location: Milwaukee, WI

Job date: Fri, 09 May 2025 07:02:16 GMT

To help us track our recruitment effort, please indicate in your email/cover letter where (jobsnear.pro) you saw this job posting.Thanks&Good Luck