Contracting, Licensing & Registration Specialist

Who We Are

At Northwestern Mutual, our financial advisors are ready to meet you where you are and stay with you long-term. Get financial clarity with a people-first plan designed to uncover new opportunities and potential blind spots. The right time to plan is right now. With $265.0 billion in assets under management, $28.1 billion in revenues, and over $1.8 trillion in life insurance protection in force, we've served more than 4.5 million people through our life, disability income, and long-term care insurance, annuities, brokerage, advisory services, trust services, and discretionary portfolio management solutions. Our wealth management company and investment services manage over $125 billion in client assets. We're proud to support our growing field force of financial advisors across the country, as well as our corporate office employees in Milwaukee and New York. As we continue to grow, we believe diversity makes us stronger in shaping the future of financial security.

Who You Are

The Contracting, Licensing & Registration Specialist supports the timely and accurate onboarding, contracting, licensing, registration, and continuing education requirements of financial representatives, associate financial representatives, and field staff. This role serves as a central coordinator across Network, District, Ensemble, and Home Office stakeholders, maintains confidential records, communicates requirements and status updates, and continuously improves processes that enable advisor and staff readiness.

This position is full-time and supports the Northwestern Mutual Network Office.

What You'll Do

Onboarding, Contracting & Records Management

• Own the onboarding process for financial representatives, associate financial representatives, and staff after an offer is accepted, coordinating communication and handoffs across Network, District, Ensemble, and Home Office stakeholders.
• Manage records for new contracts, contract changes, and terminations for financial representatives and staff while maintaining strict confidentiality and data accuracy.
• Provide clear status updates in weekly recruiting pipeline meetings and through recurring leadership communications.

Licensing, Registration & Continuing Education

• Own Northwestern Mutual Investment Services (NMIS) registration activities for new and existing financial representatives, associate financial representatives, and staff.
• Direct access to study materials and requirements for securities examinations, including the SIE, Series 7, Series 6, and Series 63, as applicable.
• Manage resident, non-resident, and license-transfer processes for new and existing financial representatives.
• Partner with the Supervision team to drive 100% timely completion of continuing education requirements.

Process Management, Reporting & Stakeholder Support

• Use local and Home Office systems and tools to administer, input, track, follow up on, and report contracting, licensing, and registration requirements.
• Distribute accurate technical guidance regarding contracting, licensing, and registration requirements to relevant stakeholders.
• Own additional reporting requested by Leadership and provide reliable visibility into onboarding progress, risks, and next steps.
• Collaborate with the key leaders to ensure advisors entering Financial Planning Academy (FPA) complete the onboarding roadmap.
• Partner with the Supervision team to ensure timely completion of Continuing Education (CE) requirements and adherence to compliance standards.
• Support ad hoc projects and proactively streamline processes, resolve issues, and strengthen office best practices.

Performance Expectations

• Support achievement of full-time recruiting goals.
• Support achievement of a 75%+ offer-acceptance-to-contract ratio.
• Maintain 0% late continuing education across the Network Office.

What You Bring

• Bachelor's degree or equivalent combination of education and relevant experience.• Experience in contracting, licensing, registration, compliance operations, financial services administration, or a similarly regulated environment.• Strong organizational and project-management skills with the ability to manage high-volume, deadline-driven workflows and multiple stakeholders.• Exceptional attention to detail, follow-through, recordkeeping discipline, and commitment to confidentiality.• Clear written and verbal communication skills, including the ability to explain technical requirements and provide concise status updates.• Proficiency with Microsoft 365 and demonstrated ability to learn and use workflow, tracking, and record-management systems.

Preferred Qualifications• Experience supporting insurance licensing, securities registration, advisor onboarding, or continuing education.• Familiarity with FINRA registration processes, state insurance licensing requirements, and financial-services compliance workflows.• Experience working across local offices and centralized Home Office teams in a matrixed environment.

What We Offer

Base salary

$65,000 annually

Annual bonus opportunity

Up to 10% of base salary ($6,500)

Target total cash compensation

$71,500

 

 

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