Senior Supervisor, Financial Compliance & Risk

Northwestern Mutual - Greater Chicago; Skokie (IL); In loco; USD 70.000 - 90.000; Tempo pieno

Vantaggi offerti da questo lavoro

401(k)

401(k) matching

Dental insurance

Disability insurance

Employee assistance program

Health insurance

Life insurance

Paid time off

Vision insurance

Descrizione del lavoro

Northwestern Mutual - Greater Chicago is seeking an Associate Director of Supervision to oversee the activities of financial representatives and staff in alignment with insurance and securities guidelines. The role focuses on risk assessment, policy interpretation, and ensuring adherence to FINRA and company procedures.

Candidates must already hold SIE/7/63 or 66 licensing and be able to obtain IL Life & Health, Series 9 & 10 within 90 days.

Competenze

• Must already hold the following Series licensing: SIE/7/63 or 66
• Ability to obtain IL Life & Health, Series 9 and Series 10 within 90 days of start
• Must be proficient in Microsoft programs (word, excel, PowerPoint).

Mansioni

• Evaluate risk, interpret policies and make decisions
• Maintain and enforce written procedures designed to achieve compliance with applicable laws, regulations and industry standards.
• Oversee supervision systems and act as Supervision delegate to execute supervisory tasks
• Conduct compliance review of Financial Representatives
• Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA
• Support Financial Representatives and staff, related to risk management, regulatory change, policies and procedures, and documentation requirements
• Build and maintain strong relationships across the firm
• Investigate customer complaints promptly

Conoscenze

Series licensing

Microsoft Office

Communication

Multitasking

Problem solving

Attention to detail

Emotional intelligence

Team collaboration

Strumenti

Microsoft Office

Descrizione del lavoro

Northwestern Mutual - Greater Chicago is seeking an Associate Director of Supervision to oversee the activities of financial representatives and staff in alignment with insurance and securities guidelines. The role focuses on risk assessment, policy interpretation, and ensuring adherence to FINRA and company procedures.

Candidates must already hold SIE/7/63 or 66 licensing and be able to obtain IL Life & Health, Series 9 & 10 within 90 days.