Centralized Supervision Specialist

About the role

Supervises investment and insurance business and activity, in a collaborative team environment, to ensure compliance with firm policies and industry regulations. Partners with Northwestern Mutual field force daily to help them grow their business the right way.

Responsibilities

• Open and process new brokerage and advisory accounts in accordance with firm policies and regulatory standards.
• Open and review new annuity policy applications, ensuring accuracy, completeness, and proper documentation prior to approval.
• Perform daily review of advisory Investment Policy (IP) violations and conduct required annual advisory account reviews, escalating exceptions as appropriate.
• Review and supervise securities-related correspondence, including flagged email and social media communications between financial representatives and clients.
• Approve correspondence in compliance with regulatory requirements and firm policies and procedures; escalate higher‑risk or non‑standard correspondence to the appropriate field supervisor for resolution.
• Perform transaction supervision using designated compliance monitoring systems (e.g., Securities Monitoring and Review Tool (SMART)).
• Work closely with a small number of small to mid-sized Network Offices and their accompanying supervisory teams to ensure appropriate monitoring and supervision is conducted in accordance with regulatory requirements, as well as firm policies and procedures.
• Play a consultative and advisory role to the field supervisors to review and discuss opportunities for workflow improvement, training, and/or documentation within their network office. Perform suitability review and ultimate approval of newly submitted brokerage and advisory accounts.
• At the direction of the subject matter expert, provide value by assisting in the completion of miscellaneous basic projects required to improve the overall effectiveness of the system. Participate as a resource on basic divisional project teams.
• What You'll Bring to the Role:
• Bachelor's Degree in business, finance or related field and/or equivalent work experience.
• 2 years of experience in a professional level position in insurance or financial services industries required.
• 2 years of professional level experience in core product lines (some combination of life insurance, DI, and LTC), mutual fund, and/or general security related experience.
• Series 7 & 24 licenses must be obtained within 6 months.
• Strong analytical, as well as strong written and oral communication skills needed.
• Strong foundation on NMIS policy and procedure and regulations is needed.
• Ability to work with all levels of management within the field and home office.
• Demonstrated ability to manage multiple issues to resolution in a timely manner while maintaining good relationships with internal and field clients.
• Ability to understand both business and compliance issues and effectively communicate with both compliances and field sales associates.
• Skills You Have:
• 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.
• Decision Making: Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.
• #LI-Hybrid
• This position has been c

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