Contract Licensing & Registration Sr. Analyst

Contract Licensing & Registration Sr. Analyst

Requirements

• Associate’s degree in business or related field or minimum of 5 years of insurance or securities experience.
• Minimum 3 years of customer service experience.
• Thorough understanding of Northwestern Mutual’s financial network operations.
• Proven strong analytical and problem-solving skills
• Superior customer service skills with ability to address and successfully resolve complex and sensitive issues
• Ability to successfully complete tasks in a timely and accurate manner in a high-volume area
• Ability to work independently to accomplish a variety of tasks
• High level attention to detail
• Expert technical knowledge
• Excellent communication skills, both written and verbal
• Superior organization skills
• Experience in case management system use and documentation procedures
• PC experience working with Microsoft WORD, Outlook and other Microsoft Office software

Responsibilities

• Underwrites financial representatives, associate financial representatives and field office representatives’ applications for registration with the Financial Industry Regulatory Authority (FINRA), and State Securities departments for Northwestern Mutual Investment Services (NMIS) and Northwestern Mutual Wealth Management Company (WMC).
• Evaluates and processes registration upgrades.
• Performs analysis of complex and non-routine cases.
• Resolves issues that ensure compliance, reduce firm risk and facilitate the selling and solicitation process.
• Identifies issues that need special handling.
• Summarizes facts and issues and appropriate referrals/recommendations to management, compliance and/or law as required.
• May perform additional responsibilities such as OSJ/RBO/SBO location registrations, Home Office Registrations, management agent and contract changes.
• Participates in data clean-up projects and proactively maintains NMFN data integrity.
• Reviews exceptions (tasks from SRC system) to ascertain that information on the application complies with state standards that can frequently change.
• Underwrites diverse information on prospective and associate financial representatives obtained from various sources.
• Responsible for the justification and approval based on set thresholds.
• Analyzes background information including criminal, civil, financial and employment histories assuring they meet Northwestern Mutual contracting standards as well as FINRA regulatory standards.
• Develops a detailed understanding of investigative reporting, background checks, court systems and documentation and an understanding of legal terms.
• Manages mass management agent contract changes (MAC’s) for network and district offices.
• Processes contract changes for college interns, agent transfers and any other contract change that cannot be processed in SRC.
• Demonstrates a thorough working knowledge of SAS/CMS evaluation system, Agents database, Word (special files, letters, reports) and SRC.
• Recognizes when it is appropriate to obtain intervention by the referral team and must work with the field coordinators to make sure histories are acceptable and all appropriate documentation is obtained.
• Communicates frequently with Managing Agents, field staff and the prospects themselves, outside vendors, FINRA and several Home Office business partners.

Preferred Qualifications

• Prior experience in CLR preferred