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Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. 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.
Consultant, Outside Activities and Consulting
Location
New York
Posted
129 days ago
Salary
$71.1K - $132.1K / year
Seniority
Senior
Job Description
Consultant, Outside Activities and Consulting
Northwestern Mutual
• Principal review, assessment and approval or rejection of applicable Outside Business Activities and Passive Investments in accordance with Enterprise policies and within our service level agreements. • Partner with home office stakeholders on new initiatives or requests to identify regulatory and Enterprise risks. • Complete risk assessment and provide options for stakeholders to address their request. • Build rapport with field leadership and supervision teams, as well as internal business partners and maintain good relationships. • Assist other Enterprise Compliance partners in addressing OBA, Passive Investment and other regulatory assessments as required. • Ability to work in a dynamic environment, provide consistent messaging and deliver difficult messages is required. • Ability to work with Market Conduct and partners in Law Department to respond to regulatory inquiries and other legal matters. • Ability to work with Field Leadership and Distribution Performance leadership relating to complex, higher risk requests and assist in difficult messaging or recommendations. • Work closely with Oversight and Engagement division within Enterprise Compliance to ensure awareness and alignment on risk factors and local decision making. • Train new Field Supervisors/Leadership and Field Engagement team members on Outside Business Activities, Passive Investment and similar regulatory obligations. • Serve as subject matter expert for the Outside Business Activity Portal, communicating updates with field and home office users when necessary, and partnering with the technology and engineering teams on prioritization, planning, and implementation of required fixes and enhancements.
Job Requirements
- Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
- FINRA Series 7 and 24 required.
- Minimum of 6 year of relevant experience.
- Experience in insurance, investment, or financial services industry preferred.
- Good verbal and written communication skills are required.
- Working knowledge of Microsoft Office, and ability to learn and use other technology such as the Outside Business Activity Portal, WebCRD, and other technology with a high degree of accuracy.
- Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.
- Sound decision-making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.
- Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.
- Project management experience is preferred.
- Proven success in establishing effective team relationships.
- Ability to identify and solve complex, operational and organizational problems leveraging the appropriate resources within or outside the division.
- Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to adopt a different point of view.
Benefits
- Health insurance
- 401(k) matching
- Flexible working hours
- Paid time off
- Professional development opportunities
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