Marketing Material Compliance Sr. Specialist

About the Job

Provides advertising compliance expertise to field and home office business partners through review of marketing, sales training, and recruiting materials. This role will collaborate with field and home office business partners on advertising regulation education and project consultation that demonstrates a commitment to shared outcomes and strategic objectives.

What You'll Do

• Conduct a comprehensive review of marketing, advertising, sales training, and recruiting materials across a variety of mediums for compliance with applicable regulations, company policies and best practices.

• Lead division priorities and projects.

• Provide subject matter expertise for home office and field business partners on advertising compliance questions.

• Own and drive consultative, educational relationships with business partners.

What You'll Bring to the Role

• Bachelor's Degree Preferred or equivalent combination of education and experience.

• FINRA series 7 and 24 required or can be obtained within 6 months.

• Minimum of 4 years of relevant experience. Experience in financial services industry preferred.

• Communications, customer service, or related business/professional experience preferred.

• Working knowledge of technology tools and applications.

• Knowledge of insurance and investment products and operations.

• Convey emotional intelligence and strong interpersonal skills to build constructive relationships.

• Ability to solve complex problems; takes a new perspective on existing solutions; exercises judgment based on the analysis of multiple sources of information.

• Ability to explain difficult or sensitive information; works to build consensus.

Skills You Have

Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.

Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.

Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.

Project Management: Delivers projects in alignment to business requirements, specific success criteria, and stakeholder expectations. Plans, manages, and completes projects keeping cost and time considerations in mind.

Risk Assessment & Identification: Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.

#LI-Hybrid

Candidates must successfully complete and pass any required testing.Series 24 - FINRAFINRA, Series 7 - FINRAFINRA, SIE - FINRAFINRA

Compensation Range:

Pay Range- Start:

$66,150.00

Pay Range- End:

$122,850.00

Geographic Specific Pay Structure:

Structure 110:

Structure 115:

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.