Centralized Supervision Specialist
Northwestern Mutual(1 month ago)
About this role
Supervises investment and insurance business activity in a collaborative team environment to ensure adherence to firm policies and industry regulations. Partners with Northwestern Mutual field force to support compliant business growth and maintain regulatory standards. The role is a registered representative position and participates in system enhancements and divisional projects.
Required Skills
- Compliance
- Surveillance
- Correspondence Review
- Transaction Monitoring
- Suitability Review
- Regulatory Knowledge
- Analytical
- Communication
- Documentation
- Process Improvement
Qualifications
- Bachelor's Degree
- Series 7
- Series 24
- SIE
- Fingerprinting
About Northwestern Mutual
northwesternmutual.comNorthwestern Mutual is a financial partner that offers personalized plans, top-rated services and life insurance. Find a financial advisor and get started on your plan today.
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