Compliance Support Representative

About the Job:

As a Compliance Support Representative, you will be integral to supporting Enterprise Compliance. You will perform compliance-related tasks that vary between department needs requiring you to exhibit an agile mindset. Your duties encompass issues identification and resolution, research and evaluation using available resources, and handling of routine casework processing. In consultation with higher-level staff, you'll be handling standard and non-standard casework, deciding on the appropriate course of action, making referrals to the appropriate provider, identifying the need for special handling as appropriate, and taking responsibility for the efficient escalation of non-standard activities. As a team player, you'll benefit professionally from the opportunity to share knowledge and seek the advice of your peers as you contribute to the realization of the team's overall business goals; quality, productivity and customer satisfaction are your highest priorities.

What You'll Do:

• Deliver timely and accurate processing of compliance operations (i.e. personal securities account processing, marketing compliance reviews, outside business activity processing, political contribution monitoring, and other day to day compliance support tasks).

• Resolve standard and non-standard operational problems within the defined timeframes and service level agreements.

• Analyze root causes of operational malfunctions and provide resolutions.

• Provide exceptional customer service to internal and external customers.

• Address business partner issues promptly and accurately.

• Manage own job calendars and flows to ensure timely completion with moderate supervision/guidance.

• Handle escalated issues independently and follow-up on outstanding issues promptly.

• Maintain daily logs of operational issues and maintenance activities.

• Contribute to business meetings and report on issue status.

• Collaborate with the IBO support team on ad hoc requests and projects.

• Evaluate current operational processes and recommend improvements.

• Other duties as assigned.

What You'll Bring to this Role:

• Associate's Degree with an emphasis in business or business related field or two to four years related experience and/or training; or equivalent combination of education and experience.

• Minimum five years customer service experience, preferably in the insurance or investment industry.

• Sound decision making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.

• Comfortable taking the initiative and suggesting new ideas, processes, improvements etc.

• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.

• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team

• Excellent communication skills; must be able to communicate with internal and external parties in a professional, comprehensive, and gracious manner

• Strong computer, time management and organizational skills are critical

• Thorough knowledge of Microsoft Office with strong emphasis on Excel proficiency

• Consistently good attendance and job performance.

#LI-Hybrid, #LI-Onsite

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

Compensation Range:

$20.11

Pay Range - End:

$30.16

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 to learn more.

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

Northwestern Mutual is an 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.

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 our commitment to a culture of belonging.

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

PandoLogic. Category:General, Location:Milwaukee, WI-53205