What's the Role?

As a Supervision Support Specialist, you will become an integral partner between Home Office, Field Advisors and Field Leadership while providing direct feedback and education on Northwestern Mutual policies and procedures.

You will be tasked with diverse day-to-day work approving new investment accounts, providing education and feedback through phone queue interactions 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 practice 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 technical skills, be flexible and agile with processes and improve our program with your knowledge, capabilities and experiences.

What makes you a great fit for our team?

• Can collaborate effectively within the team while promoting inclusivity and willing to seek diverse perspectives
• 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 make quality risk-based decisions, sometimes with limited information
• Ability to gather and use data in problem-solving and sufficiently communicate understanding to achieve effective decision making
• Learn, take risks, and be open to feedback as part of personal learning and development

Why compliance?

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. The core skills and thought processes developed on the job provides team members the opportunity for constant personal and professional growth and development. Our work is challenging but rewarding. As we are constantly evolving, 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.

Benefits:

Great pay package, 401K, Company sponsored retirement plan, Educational assistance, Performance based incentive pay, Medical, dental and vision insurance, Parental leave, Caregiver time off….and more!

#LI-POST

#IN-POST

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now! 

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.

If you work or would be working in Colorado or outside of a Corporate location, please click here for information pertaining to compensation and benefits.

FIND YOUR FUTURE

We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.