Oversight & Engagement Consultant

adership in developing, implementing, and executing risk management plans for their local offices.

Primary Duties & Responsibilities

• Partner with Network Office Supervision teams and home office Distribution Performance teams to assess and improve current compliance and supervision processes.

• Meet with Network Office Supervision teams when needed and perform annual branch inspection and routine consultation discussions.

• Analyze and interpret information about the Network Office's business through a variety of methods to unearth weaknesses and problems, and comprehend the causes.

• Formulate recommendations and solutions with attention to local Supervision team and Distribution Performance team's expectations.

• Complete on-site inspections and annual reviews of books and records of Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.

• Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry regulations.

• Reviews and inspections consist of the following: consult with Regional Oversight & Engagement team and leads the implementation of Network Office specific solutions to material and ongoing compliance issues; and ability to document, draft, and follow-up with detailed reports regarding field offices and individual registered representative visits; and document observations and findings of sales practices through interviews with field management and registered representatives; formulate recommendations and solutions with attention to local Supervision team and Distribution Performance team's expectations and present findings and suggestions with ample justification and practical advice.

• Assist in developing detailed supervision plans to drive small or radical changes, as necessary.

• Assist the local Supervision team in implementing the plan and resolve any occasional discrepancies.

• Execute on certain oversight and supporting tasks designed to provide additional insight into Network Offices' business activities.

• Train new Oversight & Engagement team members on divisional processes and procedures. Acts in mentor capacity for less experienced staff. Evaluates and resolves complex issues referred by team members.

Qualifications:

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred

• FINRA Series 7 & 24 required

• Minimum of 6 year of relevant experience. Experience in insurance, investment, or financial services industry preferred

• Knowledge of Microsoft Office with strong emphasis on Excel proficiency

• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team

• Sound decision-making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation

• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills

• Proven success in establishing effective team relationships

• Ability to identify and solves complex, operational and organizational problems leveraging the appropriate resources within or outside the division

• Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to adopt a different point of view

Candidates must successfully complete and pass any required testing. 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

Compensation Range:

Pay Range - Start:

$66,850.00

Pay Range - End:

$124,150.00

Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.

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W e 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 California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.