Contract, Licensing & Registration Senior Analyst

About The Job:

Under the direction of the Manager and Referral Team, the CL&R Senior Analyst evaluates prospective financial representatives and staff for Northwestern Mutual contracting, licensing, registration, and advisory credentialing activities. The Senior Analyst independently analyzes complex and sensitive cases, conducts regulatory and background investigations, evaluates risk, and ensures compliance with Company, FINRA, SEC, state insurance, and state securities regulations.

This role serves as a key partner to field offices, compliance partners, and home office business areas by providing expert analysis, guidance, and customer support throughout the contracting and registration lifecycle. The Senior Analyst exercises sound judgment in evaluating non-routine situations, minimizing firm risk, and supporting business growth while maintaining regulatory compliance. The position also serves as a subject matter expert for projects, process improvements, and onboarding initiatives across Contracting, Licensing, Registration, Advisory, Terminations, and Support functions.

What You'll Do:

• Provides quality and timely customer service to field and home office staff on the following topics: Contracting and Registrations
• Communicates with callers clearly in an open, direct, and timely manner.
• Answers questions that are routine, escalates calls as needed.
• Identifies the need for special handling and coordinates problem resolution, in addition to understanding the overall impact.
• Provides complete and accurate solutions to all customer needs with appropriate guidance.
• Under the direction of the Manager, Specialist, or Mentor, may handle more complex inquiries.
• Adheres to phone schedules in accordance with set standards.
• Gives and receives regular feedback/information in an open and positive manner.
• Helps others with additional casework as needed.
• Tries new ways of challenging the status quo and changing the way we work.
• Contributes to a positive environment by openly communicating new ideas/solutions, perspectives and experiences in team meetings, training sessions, 1x1s and huddles.
• Demonstrates behaviors that reflect and support our company and department values, vision, and culture of learning/growth
• Acts in a manner necessary to achieve organizational results (i.e., big picture).
• Organizes work in a manner that allows team members to easily locate and complete casework when needed.
• Written communication is professional, complete, timely, accurate and effective.
• Follows set procedures and standard work.
• Exhibits a commitment towards personal learning and growth.
• Takes initiative to learn topics outside of core responsibilities.

What You'll Bring:

• Associate degree in Business or related field or minimum of 5 years of insurance or securities experience.
• Bachelor’s Degree is preferred.
• Minimum 3 years of customer service experience.
• Thorough understanding of Northwestern Mutual's financial network operations.
• Proven strong analytical and problem-solving skills
• Superior customer service skills with ability to address and successfully resolve complex and sensitive issues
• Ability to successfully complete tasks in a timely and accurate manner in a high-volume area
• Ability to work independently to accomplish a variety of tasks
• Ability to coach and provide guidance on core customer service responsibilities
• High level attention to detail
• Expert technical knowledge
• Excellent communication skills, both written and verbal
• Superior organization skills
• Experience in case management system use and documentation procedures
• PC experience working with Microsoft WORD, Outlook and other Microsoft Office software

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.  

Decision Making - Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.  

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.  

Industry Knowledge - Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape within a particular industry / sector to better understand and address

Continuous Improvement - Utilizes available methods to identify opportunities, executes solutions and measures impact to improve existing practices and processes. Implements feedback and lessons learned. Leverages the ability to identify and experiment assumptions and hypothesis for products to be able to refine and improve them at any stage of the life cycle.  

#LI-Hybrid

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.Non-Registered Fingerprinted - FINRA

Compensation Range:

Pay Range - Start:

$21.77

Pay Range - End:

$32.66

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 that welcomes talented individuals of all backgrounds. 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.