Standards and Governance Specialist

Northwestern Mutual-posted 8 months ago
$48,580 - $90,220/Yr
Full-time • Mid Level
Hybrid • Wauwatosa, WI
Insurance Carriers and Related Activities
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This position provides technical guidance to the field and Home Office management to ensure that financial representatives meet Company standards both in acquiring and maintaining NM contracts, registrations, and licenses. The role involves coordinating research and analysis to resolve cases involving Enterprise Risk Assurance, the Law department, and Field leadership.

  • Manage, monitor, and proactively adjust workflow to ensure and support efficient and timely processes.
  • Make updates to appropriate team policies and procedures.
  • Coordinate the handling of difficult and sensitive cases/transactions related to regulatory requirements, policies, procedures, complaints, and errors requiring a high degree of technical knowledge, sensitivity, critical thinking, and judgement.
  • Evaluate and work with leadership to grant exceptions to established practices and procedures when appropriate.
  • Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective new agents in support of NM's field force.
  • Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective home office employees in support of NM's home office operations.
  • Provide technical consultation and training to the field and divisional staff.
  • Assist project teams to enhance service and ensure full compliance with company, state, and regulatory standards.
  • Provide guidance to home office and field clients in understanding and addressing risks, ensuring policies, procedures, and controls are in place to manage risks.
  • Bachelor's degree or an equivalent combination of education and progressively responsible work experience.
  • FINRA Series 6 and 26 required to be obtained within six months of hire; FINRA 7 and 24 preferred.
  • Minimum of 3 years relevant experience, preferably in Legal & Regulatory work.
  • Ability to develop solid rapport with home office and field members.
  • Demonstrated experience in leading process improvement, system enhancements and/or committee efforts through development and implementation.
  • Demonstrated high level of organization and follow through with the ability to effectively identify and independently establish priorities and meet deadlines on multiple assignments with high quality results.
  • Excellent written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with all levels in the department, the company, and the field to obtain maximum operational efficiency.
  • Strong commitment to confidentiality guidelines.
  • Fair and transparent salary range based on skills and experience.
  • Diversity and inclusion initiatives.
  • Opportunities for career growth and development.
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