Marketing Material Compliance Sr. Specialist

Northwestern Mutual • Milwaukee, WI

22d • Hybrid

About The Position

Provides advertising compliance expertise to field and home office business partners through review of marketing, sales training, and recruiting materials. This role will collaborate with field and home office business partners on advertising regulation education and project consultation that demonstrates a commitment to shared outcomes and strategic objectives.

Requirements

• Bachelor's Degree Preferred or equivalent combination of education and experience.
• FINRA series 7 and 24 required or can be obtained within 6 months.
• Minimum of 4 years of relevant experience.
• Experience in financial services industry preferred.
• Communications, customer service, or related business/professional experience preferred.
• Working knowledge of technology tools and applications.
• Knowledge of insurance and investment products and operations.
• Convey emotional intelligence and strong interpersonal skills to build constructive relationships.
• Ability to solve complex problems; takes a new perspective on existing solutions; exercises judgment based on the analysis of multiple sources of information.
• Ability to explain difficult or sensitive information; works to build consensus.
• Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
• Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.
• Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.
• Project Management: Delivers projects in alignment to business requirements, specific success criteria, and stakeholder expectations. Plans, manages, and completes projects keeping cost and time considerations in mind.
• Risk Assessment & Identification: Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.
• Candidates must successfully complete and pass any required testing.
• Series 24 - FINRA
• FINRA, Series 7 - FINRA
• FINRA, SIE - FINRA

Nice To Haves

• Experience in financial services industry preferred.
• Communications, customer service, or related business/professional experience preferred.

Responsibilities

• Conduct a comprehensive review of marketing, advertising, sales training, and recruiting materials across a variety of mediums for compliance with applicable regulations, company policies and best practices.
• Lead division priorities and projects.
• Provide subject matter expertise for home office and field business partners on advertising compliance questions.
• Own and drive consultative, educational relationships with business partners.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level