What's the Role?
As a Supervision Support 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.
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?
- Deliver business results by combining your skills and capabilities in a dynamic business environment
- Forward thinker with an ability to anticipate problems and propose recommendations on how to solve for them
- A self‐directed learner who demonstrates a strong sense of ownership and accountability
- Able to simplify complex ideas and flex your style to effectively communicate amongst many audiences
- Move quickly with enough due diligence to work with and through limited information
- Know how to gather and use data in problem-solving and able to communicate understanding to achieve effective decision making
- Learn, take risks, and be open to feedback as part of personal learning and development
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:
- Minimum of Bachelor’s degree, with emphasis on business or other related area preferred
- 1-4 years professional experience, ideally in insurance or financial service industry
- Desired: Securities Industry Essentials (SIE) Exam completed
- FINRA Series 7 & 24 must be obtained within 3 months.