AD Annuity Supervision

NORTHWESTERN MUTUAL LIFE INSURANCE • Milwaukee, WI • 6d ago

JOB REQUIREMENTS: Summary This role, in collaboration with the Chief
Compliance Officers (CCO) of NMIS and WMC, alongside divisional
leadership, is entrusted with delivering advanced support and
consultation throughout the enterprise. It is tasked with fostering
relationships to strengthen the company\'s compliance and supervision
culture, particularly in relation to Annuity and Variable Life products,
while ensuring the achievement of business objectives. Primary Duties
and Responsibilities Responsible for designing and executing supervision
approach including standards and workflows for Annuity and Variable Life
products across the enterprise with the objective of advancing the
company\'s culture of compliance while achieving business targets. Lead
and actively manage the supervision of annuity cases, ensuring
compliance with regulatory standards and company policies, while
providing expert guidance and oversight to the team. Responsible for the
supervision of higher complexity Annuity and Variable Life
products.Develop and deliver comprehensive training programs to educate
and empower the team, ensuring they are well-informed on the latest
industry practices, regulatory updates, and company procedures related
to annuity supervision. Understand applicable rules and regulations to
independently identify, assess and consult to the mitigation of risk
with enterprise business partners for Annuity and Variable Life
products. Identify and assess compliance implications to form new and/or
make updates to rules and regulations. Resolve complex or unusual
compliance and supervision issues (including Advisor escalations) in
partnership with business partners while effectively communicating with
divisional leadership and across enterprise stakeholders to ensure
alignment. Serve as a SME on areas of specialized technical expertise
for partners on behalf of Enterprise Compliance. Represent
Supervision\'s needs and feedback in the appropriate technology forums,
advocating for prioritization of necessary Supervision capabilities.
Participate in projects or efforts in support of the division or
department priorities/objectives as needed. Qualifications Bachelor\'s
Degree Preferred or equivalent combination of education and experience
preferred. FINRA series 6 and 26 or 7 and 24 required. Minimum of 6
years of relevant experience. Experience in financial services
preferred. Experience in annuities, securities/insurance operations,
information technology, law, regulatory, audit, or testing preferred.
Strong organizational leadership presence and proven ability to
cultivate relationships and influence individuals at all levels of the
organization. Understanding of the financial services / insurance /
securities industry. Ability to cultivate relationships at all levels of
the organization. Broad knowledge of Northwestern Mutual compliance
systems and business model inclusive of the home... For full info
follow application link. EEO/AA Employer/Vets/Disability ***
APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/B61B5049E90A43B9
Qualified females, minorities, and special disabled veterans and other
veterans are encouraged to apply.

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