ZipRecruiter

Log In

1

Finra License Jobs in Wisconsin (NOW HIRING)

next page

Showing results 1-20

All JobsFinra License JobsFinra License Jobs in Wisconsin

Finra License information

What are the key skills and qualifications needed to thrive in a FINRA-licensed financial professional role, and why are they important?

To thrive as a FINRA-licensed financial professional, you need a deep understanding of financial products, securities regulations, and ethical sales practices, typically supported by passing FINRA exams such as the Series 7 or Series 63. Proficiency with financial software platforms, compliance tools, and CRM systems is also essential for day-to-day operations. Strong interpersonal skills, attention to detail, and integrity help build client trust and ensure regulatory compliance. These skills are vital for managing client portfolios effectively, maintaining compliance, and succeeding in a highly regulated financial services environment.

What is the difference between Finra License vs Stock Broker?

AspectFinra LicenseStock Broker
Required CredentialsFinra licenses (e.g., Series 7, Series 63)Series 7 license, registration with Finra
Work EnvironmentFinancial firms, compliance rolesBrokerage firms, client-facing sales
Employer & Industry UsageFinancial regulatory bodies, firmsBrokerage firms, investment companies
Common Search & ComparisonYesYes

The Finra License refers to the certifications required to work in various financial roles, including being a stock broker. A stock broker is a professional who holds these licenses and actively sells securities to clients. While the Finra License is a credential, the stock broker is a role that requires holding specific licenses like Series 7. Essentially, the Finra License enables someone to become a stock broker, making them closely related in the financial industry.

What are some common challenges candidates face when preparing for FINRA licensing exams, and how can they overcome them?

Many candidates find the breadth of material covered in FINRA licensing exams, such as the Series 7 or Series 63, to be challenging, especially if they are new to financial regulations or securities products. Time management is crucial, as balancing study schedules with work or other responsibilities can be difficult. To overcome these challenges, candidates are encouraged to use structured study programs, take practice exams, join study groups, and leverage official FINRA resources. Seeking guidance from colleagues or mentors who have recently passed the exams can also provide practical insights and moral support.

What is a FINRA license?

A FINRA license is a certification granted by the Financial Industry Regulatory Authority (FINRA) that allows individuals to engage in specific securities-related activities, such as selling stocks, bonds, or giving investment advice. To obtain a FINRA license, candidates must pass qualifying exams such as the Series 7 or Series 63, depending on their desired role. These licenses help ensure that financial professionals meet industry standards and comply with regulations to protect investors. Maintaining a FINRA license often requires continuing education and adherence to ethical guidelines.
What are popular job titles related to Finra License jobs in Wisconsin? For Finra License jobs in Wisconsin, the most frequently searched job titles are:
What job categories do people searching Finra License jobs in Wisconsin look for? The top searched job categories for Finra License jobs in Wisconsin are:
Finra License jobs near you
Infographic showing various Finra License job openings in Wisconsin as of July 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution.

Life Claims & Variable Annuity Sr Spec - FINRA Series 6 - (remote)

Northwestern Mutual Life Insurance Company

Milwaukee, WI • On-site, Remote

Full-time

Posted 4 days ago

Northwestern Mutual rating

8.0

Company rating: 8.0 out of 10

Based on 73 frontline employees who took The Breakroom Quiz

162nd of 301 rated insurance

Job description

FINRA Series 6 License - REQUIRED
**Open to remote**
About the job:
The Life Claims & Annuity Sr. Specialist is responsible for assessing and making decisions on variable/portfolio death claims, death under income plan, variable/fixed annuity, and Northwestern Access Fund accounts. This role involves partnering with the contestable team on variable contestable claims. Ensuring compliance with a $2M signature authority limit involves analyzing various documents such as death certificates, claim forms, and legal documentation. Additionally, the specialist conducts routine reviews of claims by contract language and state laws.
What You'll Do:
Decision Making and Claims Review
  • Make fair, accurate, and timely decisions on variable/portfolio death claims, death under Income plans, variable/fixed annuities, and Northwestern Mutual Access Fund accounts. Maintaining compliance with a $2M signature authority limit.
  • Examine claim information obtained, including beneficiary data, policy values, policy status, and analyze information received during the claim review process, such as death certificates, claim forms, assignment forms, divorce decrees, and estate and trust documentation.
  • Research and evaluate solutions to arising situations and resolve concerns as needed. Deviate from procedures to handle unique situations effectively.
  • Exhibit empathy, professionalism, and tact in all interactions, especially when handling sensitive or contentious claims.
  • Provide exceptional customer service to policyholders, beneficiaries, and financial advisers, addressing their questions and concerns throughout the claims process.
  • Communicate claims decisions to beneficiaries and other parties clearly and sensitively, providing detailed explanations and supporting documentation as needed.
  • Manage phone and transactional responsibilities while demonstrating a strong commitment to confidentiality.
  • Maintain organization, accuracy, and timeliness in individual case management systems; capture and document claim-related information accurately and/or refer tasks as appropriate.
  • Maintain production and claim quality standards to ensure efficiency and accuracy.

Continuous Improvement and Innovation
  • Participate in continuous improvement initiatives to enhance claims handling processes, reduce turnaround times, and improve accuracy.
  • Assist with special projects and initiatives as needed to support the business.
  • Embrace new technology and serve as an advocate by educating beneficiaries and field representatives.
  • Support digital savvy capabilities in self and others and adapt to changing environments and new situations effectively and positively.

What You'll Bring to the Role:
  • Bachelor's degree or an equivalent combination of education and progressively responsible work experience.
  • A Series 6 FINRA License is required.
  • Previous experience in claims, income plan, or annuity preferred.
  • High degree of accuracy in handling detailed technical work.
  • Self-motivated with proven responsibility for work results and group goals.
  • Technically savvy with the ability to toggle between multiple applications and computer monitors simultaneously.
  • Strong organizational skills, able to independently prioritize to meet deadlines.
  • Exhibits empathy and strong client focus, with excellent customer service skills.
  • Excellent communication skills (both verbal and written) to include the proven ability to negotiate.
  • Leadership and decision-making skills, to include the abilities to evaluate/identify, diagnose, and implement decisions/solutions to questions/problems within the scope of the job.
  • Ability to analyze complex information and ask thoughtful questions.

Skills You have:
  • Adaptive Communication: Formulates strategies to be used to convey complex information about services, products, systems, or processes to targeted audiences; communicates and liaises between technical and non-technical audiences.
  • Analytical Thinking: Organizes and compares various aspects of a situation to comprehend and identify key or underlying complex issues through the use of quantitative data and analysis; leverages strong business acumen, problem solving, and interpersonal skills to think critically about situations from multiple perspectives and consistently seeks ways to improve processes.
  • Annuity Acumen: Demonstrates a thorough understanding of the underlying financial principles and risks associated with annuity products. Accurately identifies potential fraud or misrepresentation in annuity applications.
  • 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.
  • Claims Acumen: Applies the knowledge of claims philosophy, contracts, and policies and procedures for filing claims, assessing claims for accuracy and completeness, verifying eligibility, and adjudicating claims based on established criteria to handle complex, contestable, sensitive, and large benefit amount claims. Evaluates medical, financial, and occupational information and reviews to determine if insured meets contractual provisions while taking the state regulations or other relevant contractual information into consideration to make informed decisions. Analyzes insurance claims to determine the validity/risk of the claim, and the extent of coverage.
  • Customer Centricity: Applies a customer first mindset to design and continuously improve solutions, systems, processes, and services that support enterprise strategy, impact critical business outcomes, and drive organizational success.
  • Empathetic Communication: Empathizes and relates to clients navigating difficult life situations. Handles cases with care and compassion. Practices active listening to understand the unique needs of the customer and take more informed decisions about their policies.

#LI-Remote
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Compensation Range:
Pay Range - Start:
$65,440.00
Pay Range - End:
$98,160.00
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.
Job Posting End Date:
The timeline for this job posting may be shortened or extended based on organizational needs.
Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!
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.

What Northwestern Mutual employees say

Pay

Benefits

Hours and flexibility

Workplace

Get the full story on Breakroom

Northwestern Mutual logo

About Northwestern Mutual

Sourced by ZipRecruiter

Northwestern Mutual has been helping families and businesses achieve financial security for over 160 years through a distinctive planning approach that integrates risk management with wealth accumulation, preservation, and distribution. With more than $290 billion in assets, $30 billion in revenues and more than $1.9 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than 4.6 million clients. People are the power behind Northwestern Mutual, and diversity makes us better. We are committed to reflecting and serving the marketplace. We do so by attracting and improving the engagement of those who bring their outstanding perspectives, ideas, and beliefs.

Industry

Finance and insurance

Company size

5,001 - 10,000 Employees

Headquarters location

Milwaukee, WI, US

View All Northwestern Mutual Jobs

Apply