At Northwestern Mutual, our vision is to deliver financial security to help our clients live their best lives by choice. A key pillar of our vision and success is our strong, vibrant sales force. This role sits within the Career Distribution (CD), which is at the forefront of working across the home office and sales force as one team to achieve the sales and growth objectives the company expects, while delivering the experience our distribution needs and deserves.

Primary Duties & Responsibilities

* Incumbent manages the process for developing policies and standards to meet regulatory learning requirements as prescribed by FINRA.

* Analyze and interpret financial representative and home office registered representatives Continuing Education (CE) requirements.

* Ensure financial representatives comply with CE requirements per FINRA regulation by established deadline.

* Assist with building report completion information that will identify individuals who have satisfied all regulatory requirements and individuals who still need to satisfy the requirements.

* He/she acts as NM Liaison with external financial services industry groups and education vendors.

* NMIS Continuing Education (CE) program

* Manage the FINRA CE (regulatory element) program, in conjunction with leadership within Contract, License and Registration department, to ensure FINRA compliance and adherence with company guidelines.

* FINRA's Regulatory Element Training Plan strategy includes a Needs Analysis, written Communication Plan as development by Program Leads, Implementation Policy, and a Review and Evaluation Process.

* The overall strategy is dynamic and allows for updating the Plan and adding or removing educational requirements and/or resources as appropriate.

* Craft field communications announcing the training requirement, due dates, resourced for complying with the regulatory requirement and non-compliance consequences.

* Monitor that registered reps have completed mandatory coursework to attain required CE credits by running reports and drafting appropriate communications to Directors of Network Office Supervision and registered reps who are out of compliance.

* As this incumbent uncovers individuals or situations where there is a risk of not meeting the end of year deadline, information is communicated accordingly.

* Conduct regular audits to ensure all applicable agents have completed the appropriate training.

* Work with CLR to terminate registrations for those not in compliance.

* Act as the FINRA liaison to negotiate exceptions around "good cause shown" needs.

* Acts as a primary point of contact for the field as it relates to Regulatory Element CE.

* Uncover potential process improvements regarding CE reporting and course completion data accuracy and work with our IS Support Team through resolution.

* Participate in the development and implementation of policies and guidelines for the NMIS CE program in terms of company requirements that need to be met by Home Office and Field NMIS registered personnel.

* Strict adherence to FINRA requirements of continual education for all NMIS registered reps and Northwestern Mutual' s guidelines for fulfillment of credit are essential to the success of this role.

* Other responsibilities may be assigned as necessary.

Qualifications

* Bachelor's Degree with an emphasis in Business, Finance, Legal / Compliance, or related field required

* 1-3 years of experience in the financial services industry

* Project management skills including analysis, design, documentation and process development through detailed implementation plans required.

* Excellent interpersonal skills demonstrating influence without authority and effective collaboration with stakeholders in other areas of the company and field offices.

* Series 7 exam desired or the ability to obtain within 12 months of employment.

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Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click for additiona l information relating to location-based pay structures.

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click for information pertaining to compensation and benefits.

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

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