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Oversight Engagement Consultant
Oversight Engagement Consultant-March 2024
Milwaukee
Mar 29, 2026
About Oversight Engagement Consultant

  JOB REQUIREMENTS: At Northwestern Mutual, we are strong, innovative andgrowing. We invest in our people. We care and make a positivedifference. Summary An integral consulting partner between the HomeOffice, our Field Supervision teams and Financial Representatives.Working directly with the Vice Presidents of Distribution Performance,Field Leadership and Financial Representatives; learn their business andprovide direct feedback and guidance on how they can grow theirbusiness, the right way. Consult on anything from appropriate salespractices to implementation of policies and procedures as you makerecommendations to drive business results through ongoing consultativesupport to the Field and within the Home Office. Educate and trainRepresentatives and their staff while performing branch inspectionswhile striving to improve divisional work processes. Collaborate withfield leadership in developing, implementing, and executing riskmanagement plans for their local offices. Primary Duties &Responsibilities Partner with Network Office Supervision teams and homeoffice Distribution Performance teams to assess and improve currentcompliance and supervision processes. Meet with Network OfficeSupervision teams when needed and perform annual branch inspection androutine consultation discussions. Analyze and interpret informationabout the Network Office\'s business through a variety of methods tounearth weaknesses and problems, and comprehend the causes. Formulaterecommendations and solutions with attention to local Supervision teamand Distribution Performance team\'s expectations. Complete on-siteinspections and annual reviews of books and records of Offices ofSupervisory Jurisdiction, Registered Branch Offices and other fieldlocations as required by FINRA. Conduct interviews and client filereviews with representatives in field offices in accordance with firmpolicy and industry regulations. Reviews and inspections consist of thefollowing: consult with Regional Oversight & Engagement team and leadsthe implementation of Network Office specific solutions to material andongoing compliance issues; and ability to document, draft, and follow-upwith detailed reports regarding field offices and individual registeredrepresentative visits; and document observations and findings of salespractices through interviews with field management and registeredrepresentatives; formulate recommendations and solutions with attentionto local Supervision team and Distribution Performance team\'sexpectations and present findings and suggestions with amplejustification and practical advice. Assist in developing detailedsupervision plans to drive small or radical changes, as necessary.Assist the local Supervision team in implementing the plan and resolveany occasional discrepancies. Execute on certain oversight andsupporting tasks designed to provide... For full info followapplication link. EEO/AA Employer/Vets/Disability ***** APPLICATIONINSTRUCTIONS: Apply Online: ipc.us/t/FF24B00D82CD48E4 Qualified females,minorities, and special disabled veterans and other veterans areencouraged to apply.

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