Senior Practice Management Operations Specialist

Northwestern Mutual Investment Services, LLC; Milwaukee (WI); In loco; USD 65.000 - 98.000; Tempo pieno

Descrizione del lavoro

Northwestern Mutual Investment Services, LLC seeks a FINRA-registered principal to evaluate staff incentive compensation plans and ensure compliance with federal, state and product regulations across NM's insurance, investment brokerage and advisory framework.

You will audit plans, balance stakeholder interests, and mentor teams while leading continuous improvement initiatives in a collaborative, compliance-driven environment.

Competenze

• Bachelor's Degree Preferred or equivalent combination of education and experience.
• FINRA Series 6 & 26 required or obtained within 6 months.
• Minimum of 3-5 years of proven experience in insurance, investment, or financial services industry.
• Compliance and/or contract, licensing, and registration experience and/or knowledge preferred.
• Knowledge of Microsoft Office with strong emphasis on Excel proficiency.

Mansioni

• As a FINRA registered 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; elevate to law and enterprise stakeholders as needed to resolve issues and move teams forward on a timely basis.
• Conduct audits and collect evidence of payment artifacts in accordance with firm policy and NMIS books & records.
• Educate and train Enterprise stakeholders and supervision team members as needed.
• Lead and/or participate in projects and continuous improvement efforts.

Conoscenze

Attention to detail

Collaborative partnership

Decision making

Policy & procedure management

Excel proficiency

Formazione

Bachelor's Degree Preferred

Strumenti

Microsoft Office

Excel

Descrizione del lavoro

Northwestern Mutual Investment Services, LLC seeks a FINRA-registered principal to evaluate staff incentive compensation plans and ensure compliance with federal, state and product regulations across NM's insurance, investment brokerage and advisory framework.

You will audit plans, balance stakeholder interests, and mentor teams while leading continuous improvement initiatives in a collaborative, compliance-driven environment.