Contract, License, & Registration Specialist at Northwestern Mutual

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.

• Utilizes the CLR client service philosophy to deliver high touch service to internal and external customers.

• 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

Preferred

• Experience working with NM's field force.

• Series 7, or willingness to obtain a Series 7

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.

Required Certifications:

Non-Registered Fingerprinted - FINRA $47,600.00

$88,400.00

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 here for additional information relating to location-based pay structures.

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now! 

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 here for information pertaining to compensation and benefits.

FIND YOUR FUTURE

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