Supervision & Investment Operations Specialist

The Supervision & Investment Operations Specialist (SIOS) works within the Network Office Supervision department, reporting to the Chief Supervision Officer. It is the SIOS’s responsibility to support the supervision team’s activities, while also serving as the primary investment operations specialist for the Network Office.

Specific responsibilities include but are not limited to:

Network Office Supervision

• Ensure that the operational, sales and servicing activities of supervised persons complies with all applicable laws, regulations and company policies
• Monitor activities of supervised persons through reports, personal inspections and interviews
• Research and evaluate instances of suspected non-compliance
• Maintains appropriate records to document supervisory practices and their outcomes within the Network Office
• Ensures compliance with books and records requirements imposed by regulatory agencies or by the Company
• Recommends and implements goals, strategies and action plans to improve compliance and supervision within the Network Office
• Acts as subject matter expert on compliance and regulatory matters, including: FINRA/SEC rules/regulations, AML provisions and red-flags, state insurance & securities regulations, etc.
• Assesses potential risks to the Network Office
• Sign off as a registered principal on securities transactions
• Successfully complete training requirements assigned by the Northwestern Mutual home office

Investment Operations

• Process account maintenance requests and updates, including account transfers, journal funds, and setup periodic trade instructions
• Active management of all incoming client checks and daily bank deposits
• Respond various to incoming requests and/or inquiries from the sales force
• Provide support through training and communication with sales force
• Provide guidance and instruction on completion of paperwork and processing of transactions
• Prioritize and respond to email and phone requests in accordance with daily company deadlines
• Review account paperwork for accuracy and completeness, file and maintain records
• Assist in training replacement Investment Operations Specialist as transition to full time office supervision timeline approaches

Growth Opportunity

• This role starts out with a 50/50 time split between supervision activities and the investment operations. The intent is for this role to transition into an Associate Director of Supervision (ADOS) role focusing 100% of their time in supervision, and remain as the backup to the future Investment Operations Specialist.

Qualifications

• FINRA series 7 and 63 and MN Life Insurance license or ability to obtain within 120-days of hire
• Obtain FINRA series 9 & 10 within 180- days of hire
• Good time management and ability to prioritize and manage multiple tasks
• Desire to learn and seeks solutions from available resources
• Ability to maintain accuracy and meet daily deadlines
• Strong written and oral communication skills

• Ability to complete required internal trainings
• Ability to travel as required