Market Conduct Manager

JOB REQUIREMENTS : At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

Summary : Responsible for supervising and leading a team of skilled professionals in the Market Conduct division who are responsible for the Enterprise Complaint program, handling of sales practice and investment service complaints, and conducting field sales practice investigations.

This role will build relationships, manage projects, hire new team members, as well as continuously coach and develop staff.

Will assist and support the development of overall strategy for division to ensure effectiveness and program development.

This role will partner with department leaders, business owners, and key stakeholders to advance divisional, departmental, and enterprise objectives.

Primary Duties & Responsibilities : Serves as consultative, managerial, and technical expert to staff in the Market Conduct division.

Assist in the development and execution of overall strategy to ensure division effectiveness Demonstrate to partners and stakeholders the value proposition of Market Conduct.

Recruits, hires and onboards talent ensuring the right mix of talent within team. Creates an inclusive, engaging environment that encourages accountability, productivity, and development.

Builds effective teams by selecting talent, coaching, developing, and motivating divisional personnel. Ensure team has the technical, business and procedural knowledge as well as the interpersonal skills to perform successfully in evolving compliance environments.

Builds and maintains relationships across department and with business partners to understand enterprise compliance support needs.

Collaborates with business partners and leadership to identify business challenges and gaps that impact current and future performance and guides team to develop capabilities and processes to meet these needs.

Assist in developing department divisional plans, including business, production and / or organizational priorities in support of department business objectives.

Directs work distribution and assist in the creation and refinement of processes. Qualifications : Bachelor 's degree in business administration, finance, marketing, pre-law, etc.

preferred. FINRA series SIE, 7 & 24 required or can be obtained within 6 months. Minimum of 6 years of relevant experience.

Preferably 2 years of leadership experience formal or informal. Experience in the financial services / securities industry preferred.

Ability to lead, coach, and develop direct reports. Ability to lead others to solve complex problems using sophisticated analytical thought to exercise judgment and identify innovative solutions.

Guided by policies and divisional plan, ability to impact the team 's ability to achieve service, quality and timeliness of objectives.

Ability to explain information, convey performance expectations... For full info follow application link. EEO / AA Employer / Vets / Disability APPLICATION INSTRUCTIONS : Apply Online : ipc.

us / t / F6D98F9076EE4472 Qualified females, minorities, and special disabled veterans and other veterans are encouraged to apply.