Easter Seals Jobs

JOB REQUIREMENTS: At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they\'re just a few of the reasons why people choose to build careers at Northwestern Mutual. We\'re strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We\'re strong, innovative and growing. We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business. We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they\'re passionate about. What you will do: Supervises investment and insurance business and activity, in a collaborative team environment, to ensure compliance with firm policies and industry regulations. Partners with Northwestern Mutual field force daily to help them grow their business the right way. How you will do it: Perform review and supervision of securities correspondence, flagged email and social media correspondence between financial representatives and their clients. Approve correspondence in accordance with regulatory requirements, as well as firm policies and procedures. Escalate higher risk flagged correspondence to the appropriate field supervisor for resolution. Perform transaction supervision using compliance monitoring systems (e.g. the Securities Monitoring and Review Tool (SMART). Work closely with a small number of small to mid-sized Network Offices and their accompanying supervisory teams to ensure appropriate monitoring and supervision is conducted in accordance with regulatory requirements, as well as firm policies and procedures. Play a consultative and advisory role to the field supervisors to review and discuss opportunities for workflow improvement, training, and/or documentation within their network office. Perform suitability review and ultimate approval of newly submitted brokerage and advisory accounts. Work with supervision team to provide feedback and information on the observed trends found by the Supervision Support Team. Information provided outlines areas of concerns associated with the timeliness and/or documentation of supervisory reviews that have been unaddressed and require action to minimize business risk and ensure regulatory compliance. For the assigned supervision and surveillance systems, provide support to the subject matter expert of the respective system (e.g. provide feedback and support with system... For full info follow application link. EEO/AA Employer/Vets/Disability ***** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/E4D416ED67394404 Qualified females, minorities, and special disabled veterans and other veterans are encouraged to apply.