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Northwestern Mutual Financial Network Work Values
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Daily Duties at Northwestern Mutual Financial Network:
• Developed and administered programs to assure day-to-day activities of supervised persons complied with all State and Federal applicable laws, regulations, and Northwestern Mutual policies, and to detect instances of possible non-compliance for 120 Financial Representatives housed within the Office of Supervisory Jurisdiction, 5 Registered Branch Offices, and 7 Private-Resident Locations. • Responsibilities included: reviewed and approved all investment accounts; monitored daily trade and email activity, filed monthly reports, conducted annual insurance and investment client file reviews focusing on suitability, share class issues, breakpoints, money laundering, switch activity, and sales to the elderly; maintained required SEC Books & Records reports, reviewed and documented approval or rejection of incoming and outgoing securities-related correspondence. • Coordinated with the Director of Compliance, training presentations regarding compliance, ethics, and sales practice issues. Training and educational meetings included hosting the Annual Field Compliance Meeting, as well as documenting Registered Representative attendance to ensure a firm understanding of current Northwestern Mutual and industry policies and procedures.
What they like about Northwestern Mutual Financial Network:
Working for a company with an emphasis on social values and helping society is a clear and important priority for you - a critical factor in who you choose to work for. In contrast to other factors, you place an organization's reputation for fairness and concern for the community above most other aspects of the company. As you search for a new job opportunity, it is usually possible to find out if the company is involved in the community and/or if it is addressing problems and issues in society. Pay special attention to non-profit organizations and those specifically involved in social action. Moreover, speaking with current and former employees should enlighten you to perceptions of the fairness of the company's leaders and the treatment of employees.
Tags
Compliance, Series 7, Series 24, Series 53, Series 66, Series 63, Compliance Officer, Compliance Director, Regulatory Compliance
Information about Northwestern Mutual Financial Network
Company Rank: 3.0 out of 5
Average length of employment : 7 years
Average salary of employees: $63,500
These are some of the questions we asked our climbers about their experiences with Northwestern Mutual Financial Network:
| 05| | ||
| Were your performance expectations clearly communicated? | 3.0 |
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| Were you recognized for meeting or exceeding expectations? | 4.0 |
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| Did you feel like your personal contribution was important? | 5.0 |
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| Was your career path clearly outlined and discussed? | 3.0 |
| 03| | ||
| I would recommend this as a place of employment. | 3.0 | |
| I believe in the purpose of this organization. | 3.0 | |
| I would work for this organization again. | 3.0 | |
| I feel employees are fairly compensated. | 1.0 |
