Continuing Education Specialist 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, InsuranceIndustries

Requirements

Bachelor's Degree with an emphasis in Business, Finance, Legal/Compliance, or related field required
1-3 years of experience in the financial services industry
Project management skills including analysis, design, documentation and process development through detailed implementation plans required
Excellent interpersonal skills demonstrating influence without authority and effective collaboration with stakeholders in other areas of the company and field offices

Responsibilities

Manage the process for developing policies and standards to meet regulatory learning requirements as prescribed by FINRA
Analyze and interpret financial representative Continuing Education (CE) and pre-licensing requirements as mandated by state insurance law, with a special emphasis on annuity and/or long-term care training
Ensure financial representatives comply with CE requirements per FINRA regulation by established deadline
Assist with building report completion information that will identify individuals who have satisfied all regulatory requirements and individuals who still need to satisfy the requirements
Act as NM Liaison with external financial services industry groups and education vendors
Manage the FINRA CE (regulatory element) program, in conjunction with leadership within Contract, License and Registration department, to ensure FINRA compliance and adherence with company guidelines
Craft field communications announcing the training requirement, due dates, resources for complying with the regulatory requirement and non-compliance consequences
Monitor that registered reps have completed mandatory coursework to attain required CE credits by running reports and drafting appropriate communications to Directors of Network Office Supervision and registered reps who are out of compliance
Communicate information on individuals or situations where there is a risk of not meeting the end of year deadline
Conduct regular audits to ensure all applicable agents have completed the appropriate training
Work with CLR to terminate registrations for those not in compliance
Act as the FINRA liaison to negotiate exceptions around "good cause shown" needs
Act as a primary point of contact for the field as it relates to Regulatory Element CE
Uncover potential process improvements regarding CE reporting and course completion data accuracy and work with IS Support Team through resolution
Participate in the development and implementation of policies and guidelines for the NMIS CE program in terms of company requirements that need to be met by Home Office and Field NMIS registered personnel
Other responsibilities may be assigned as necessary

Skills

FINRA compliance

CE requirements

regulatory analysis

report building

auditing

policy development

stakeholder communication

vendor liaison

insurance regulations

risk monitoring

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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