AD - Annuity Supervision at Northwestern Mutual

Milwaukee, Wisconsin, United States

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Not SpecifiedCompensation

Mid-level (3 to 4 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Insurance, SecuritiesIndustries

Requirements

Bachelor's Degree preferred or equivalent combination of education and experience
FINRA Series 7 and 24 required within 6 months of hire
FINRA Series 26, Series 6 may apply
Minimum of 6 years of relevant experience; experience in financial services preferred
Experience in 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
Classified as a Registered Representative under NMIS guidelines requiring fingerprinting
#LI-Hybrid (hybrid work arrangement)

Responsibilities

Execute the strategy for SCS team engagement across the enterprise to advance the company's culture of compliance while achieving business targets
Understand applicable rules and regulations to independently identify, assess, and consult on the mitigation of risk with enterprise business partners across a wide range of compliance topics
Resolve complex or unusual compliance risk issues in partnership with business partners and communicate across enterprise stakeholders to ensure alignment
Identify and assess compliance implications to business area(s) from new and/or updates to rules and regulations
Serve as a SME on areas of specialized technical expertise for partners within Enterprise Compliance
May have ownership of programs on behalf of the enterprise and ensure work associated with such programs is executed (e.g., NMIS Home Office Supervision, Electronic Communications, Books and Records, Enterprise Conflicts of Interest)
Participate in projects or efforts in support of the division or department priorities/objectives as needed
Provide advanced support, build relationships, and consult across the enterprise under the direction of the Chief Compliance Officer (CCO) of NMIS and NMWMC and divisional leadership to advance the company's compliance culture while ensuring business objectives are achieved

Skills

Key technologies and capabilities for this role

FINRA Series 7FINRA Series 24ComplianceRisk AssessmentRegulatory ConsultingSecurities RegulationInsurance RegulationBooks and RecordsConflicts of InterestElectronic CommunicationsSupervision

Questions & Answers

Common questions about this position

What is the salary range for this position?

The pay range starts at $92,750 and ends at $172,250, with geographic specific structures ranging from $102,060 to $198,120 depending on location.

Is this role remote or hybrid?

This position is classified as hybrid.

What qualifications and experience are required for this role?

A Bachelor's Degree or equivalent is preferred, FINRA Series 7 and 24 are required within 6 months of hire, and a minimum of 6 years of relevant experience in financial services, securities/insurance operations, or related fields is needed.

What skills make a strong candidate for this position?

Strong organizational leadership presence, ability to cultivate relationships and influence at all levels, understanding of the financial services industry, broad knowledge of Northwestern Mutual's compliance systems, and advanced critical thinking to resolve complex problems are key.

What FINRA licenses are required for this role?

FINRA Series 7 and 24 are required within 6 months of hire; Series 26, 6 may also apply as listed.

Northwestern Mutual

Provides financial security services, and wealth management

About Northwestern Mutual

Northwestern Mutual offers personalized financial planning, life insurance, and investment services, leveraging leading-edge technology to manage over $125 billion in client assets for more than 4.5 million clients.

Milwaukee, WisconsinHeadquarters

1856Year Founded

N/ACompany Stage

Consulting, Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Growing your Career

Compensation & Time Off

Insurance plans

Health Savings Account

Wellness programs & resources

401(k) plan and cash balance contributions

Risks

Fintech platforms like Carefull challenge traditional financial advisory services.

Internal competition may arise from Wellthi's focus on the Black community.

Customer dissatisfaction may grow due to increased retirement age expectations.

Differentiation

Northwestern Mutual maintains the highest financial strength ratings in the industry.

The company launched 'The Great Realization' campaign to refocus customer priorities.

Northwestern Mutual offers a unique Long-Term Advantage product with life insurance benefits.

Upsides

The aging population increases demand for retirement planning and long-term care solutions.

Partnerships with tech firms enhance Northwestern Mutual's data analytics capabilities.

Digital transformation in insurance leads to more personalized customer experiences.

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