Compliance and Registration Specialist - Hybrid

The CLR Specialist will perform an array of functions relating to contracts, licensing, registrations, terminations, and support. The CLR Specialist role requires a process-oriented individual with strong communication and collaboration skills, along with an understanding of processes and systems. The successful candidate will be able to take a results-driven approach to deliver the desired outcomes in a fast-paced and dynamic environment while adapting to changing regulatory processes. There is also an opportunity to collaborate on process improvement projects, quality and audit requests

Primary Duties and Responsibilities

• Acts independently using comprehensive expertise along with the tools and resources available, to effectively service contract, license and registration requests from Field Offices in order to contract and register prospective Financial Representatives.

• Requests involve highly confidential, sensitive and complex situations that require the utmost attention to detail and high emphasis on relationship management.

• Accountable for maintaining the high integrity of our field force and for ensuring compliance with company and regulatory requirements.

• Coordinates requests that cross division or department lines.

• Acts independently to implement and oversee the policies, procedures and day-to-day operations of the division to provide timely, effective underwriting of prospective new financial representatives in support of NM's field force.

• Provides technical guidance and training to the field and divisional staff.

• Provides administrative leadership, mentoring, and training within the division.

• Participates in project teams to enhance service and ensure full compliance with Company, state and regulatory standards.

• Represents CLR as a subject matter expert for projects and special assignments. Provides input on processes and procedures, understands the impact to the team and to the field as changes are implemented. May assist in documenting and developing new procedures and sharing this information with impacted parties.

• Guides divisional staff in all areas of responsibilities through daily written and verbal referrals of cases from CLR analysts. This includes new agent contracting and registration; compliance with state licensing and Company appointment requirements; adherence to FINRA registration, reporting and compliance requirements; provides manager with input for annual and semiannual reviews.

• Serves as a coach and mentor when working directly with Home Office staff on sensitive and complex casework, training, and process improvements.

• Handles case referrals by divisional CLR analysts. Makes recommendations or provides final decision on situations within authority limits.

• Consults with Compliance, Law, WMC, systems, other departments, and CLR, and independently negotiates resolutions to various cases, processes, and situations, which are often complex and highly confidential, and at times involving questionable criminal and financial backgrounds.

• Reviews FBI fingerprint results, works diligently to resolve any discrepancies in information or fingerprint hits, and determines appropriate course of action.

• May serve as a technical specialist and provide advanced direction and support to home office, field staff and management in the areas of securities and license registrations, Registered Branch Office (RBO) filings and amendments, Advisory Credentialing, and oversight for exception reporting and NMIS billing.

• Ensures data integrity of the NMFN Agent's database using various reconciliation methods, e.g., reviews FINRA on-line reports, reviews and corrects data input errors, coaches employees and/or recommends system solutions to reduce errors where warranted.

• Conducts audits to ensure Home Office staff maintains a high level of accuracy and timeliness with their work.

• Proactively and independently identifies improvement opportunities, presents solutions and is able to implement and monitor those solutions.

• Assists in monitoring and balancing workflow to ensure a high level of service is provided to all customers and there are no backlogs.

• May monitor WebCRD account balance and initiate deposits as needed.

• May facilitate payment of the annual renewal bill or act as a back-up.

• Acts as back up for manager.

Qualifications

• Degree in business or related field or equivalent in experience, plus minimum of 3 years of customer service experience with accountability for case-work and full case resolution.

• Demonstrated excellent customer service skills.

• Strong verbal and written communication skills with the ability to interact with both the field force and home office clients at all levels.

• Strong demonstrated skills in analyzing complex information, problem solving, applying concepts and judgment and independent decision-making

• High level of organization and follow-through.

• Able to identify and establish priorities to meet deadlines on multiple assignments and cases.

• Decision-making problem-solving skills

• Two or more years of experience, attaining full proficiency, in the areas of contracting, licensing and/or registration.

• Experience working with NM's field force.

• Obtain the Series 6 and Series 26 within 1 year of hire.

Pay Range - End:

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

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Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups