Senior Analyst - Contracting, Licensing & Registration

northwesternmutual; Milwaukee (WI); Hybrid; USD 85,000 - 110,000; Full time

Job summary

Northwestern Mutual in Milwaukee seeks a CL&R Senior Analyst to evaluate prospective financial representatives and staff for contracting, licensing, registration, and advisory credentialing. You will independently analyze complex cases, conduct regulatory investigations, and ensure compliance with FINRA, SEC, state rules while partnering with field offices and home office teams.

You will guide onboarding initiatives, support non-routine situations, and help minimize firm risk by applying sound

Qualifications

• Associate degree in Business or related field or minimum of 5 years of insurance or securities experience.
• Bachelor's Degree is preferred.

Responsibilities

• Provides quality and timely customer service to field and home office staff on Contracting and Registrations.
• Communicates clearly with callers in an open, direct, and timely manner.

Skills

Attention to Detail

Decision Making

Cross Functional Partnering & Planning

Industry Knowledge

Continuous Improvement

Education

Associate degree in Business

Bachelor's degree preferred

Tools

Microsoft Word

Outlook

Microsoft Office

Job description

Northwestern Mutual in Milwaukee seeks a CL&R Senior Analyst to evaluate prospective financial representatives and staff for contracting, licensing, registration, and advisory credentialing. You will independently analyze complex cases, conduct regulatory investigations, and ensure compliance with FINRA, SEC, state rules while partnering with field offices and home office teams.

You will guide onboarding initiatives, support non-routine situations, and help minimize firm risk by applying sound