Practice Management Operations Consultant

/or support the development, implementation and maintenance of policies, procedures, resources, and training to support growth of sophisticated practices and drive business results. Own compliance procedures and adjust as needed to meet compliance oversight requirements.

• As a securities principal, exercise independent decision-making authority on behalf of NM, NMIS and the Wealth Management Company for the review, approval, and audit of staff compensation incentive plans.

• Formulate recommendations and solutions while balancing competing interests and meeting expectations of Career Advisors, Field Supervision, and Distribution Performance.

• Identify and anticipate issues and conflicts; escalate to law and enterprise stakeholders as needed to resolve issues and move teams forward on a timely basis.

• Regularly measure the effectiveness of controls, identify improvement opportunities, recommend and, implement actions to address them. Drive continuous improvement and operational efficiency.

• Lead others and/or personally conduct audits and collect evidence of payment artifacts in accordance with firm policy and books & records.

• Assist the local Supervision team in individual case circumstances and collaborate to creatively resolve complex questions and issues.

• Educate and train Enterprise stakeholders and supervision team members.

Knowledge, Skills, Abilities:

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

• FINRA Series 6 & 26 or Series 7 & 24 required.

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

• Compliance and/or contract, licensing, and registration experience and/or knowledge 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.

• Strong critical-thinking, analytical and problem-solving skills a must.

• Exercises tact and diplomacy; proven success in establishing effective relationships.

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

• Individual contribution leadership behavior focus: Solve for the Client; Lead with Enterprise Vision; Play to Win.

• This is a hybrid role with a requirement of being in the office 3 days a week.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 26 - FINRA, Series 6 - FINRA

Compensation Range:

Pay Range - Start:
$71,120.00

Pay Range - End:
$132,080.00

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

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Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.