Continuing Education Specialist

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 Continuing Education (CE) and pre-licensing requirements as mandated by state insurance law, with a special emphasis on annuity and/or long-term care training.

* 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.

* 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.

Compensation Range:

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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