Centralized Supervision Specialist

JOB REQUIREMENTS: Summary Supervises investment and insurance businessand activity, in a collaborative team environment, to ensure compliancewith firm policies and industry regulations. Partners with NorthwesternMutual field force daily to help them grow their business the right way.Primary Duties & responsibilities: Perform review and supervision ofsecurities correspondence, flagged email and social media correspondencebetween financial representatives and their clients. Approvecorrespondence in accordance with regulatory requirements, as well asfirm policies and procedures. Escalate higher risk flaggedcorrespondence to the appropriate field supervisor for resolution.Perform transaction supervision using compliance monitoring systems(e.g. the Securities Monitoring and Review Tool (SMART). Work closelywith a small number of small to mid-sized Network Offices and theiraccompanying supervisory teams to ensure appropriate monitoring andsupervision is conducted in accordance with regulatory requirements, aswell as firm policies and procedures. Play a consultative and advisoryrole to the field supervisors to review and discuss opportunities forworkflow improvement, training, and/or documentation within theirnetwork office. Perform suitability review and ultimate approval ofnewly submitted brokerage and advisory accounts. Work with supervisionteam to provide feedback and information on the observed trends found bythe Supervision Support Team. Information provided outlines areas ofconcerns associated with the timeliness and/or documentation ofsupervisory reviews that have been unaddressed and require action tominimize business risk and ensure regulatory compliance. For theassigned supervision and surveillance systems, provide support to thesubject matter expert of the respective system (e.g. provide feedbackand support with system enhancements to help with implementation).Participate in the discussions related to the creation, testing andimplementation of annual system enhancements. At the direction of thesubject matter expert, provide value by assisting in the completion ofmiscellaneous basic projects required to improve the overalleffectiveness of the system. Participate as a resource on basicdivisional project teams. Qualifications: Bachelor's Degree inbusiness, finance or related field and/or equivalent work experience. 2years of experience in a professional level position in insurance orfinancial services industries required. 2 years of professional levelexperience 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. Stronganalytical, as well as strong written and oral communication skillsneeded. Strong foundation on NMIS policy and procedure and regulationsis... For full info follow application link. EEO/AAEmployer/Vets/Disability APPLICATION INSTRUCTIONS: ApplyOnline: ipc.us/t/E16872585C9941B8 Qualified females, minorities, andspecial disabled veterans and other veterans are encouraged to apply.

Created: 2026-01-30