Remote Aml Transaction Monitoring Jobs in Wisconsin

Summary

This position has been classified as an Access Person, which will require the reporting of your personal securities transactions. This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required forms.

• FINRA non-registered fingerprinted person

• WMC access person

Primary Duties & Responsibilities

• Resolves a variety of investment operations inquiries and escalations from home office leaders, field staff or other team members. Uses industry knowledge and analytical skills to resolve problems.

• Researches and responds to client issues including but is not limited to placing trades, assisting clients with system access and navigation, assisting clients with account maintenance and inquiries, discussing the latest market trends responding to research requests and providing investment education to our clients.

• Provides ongoing home office supervision/oversight function of investment advisory accounts to ensure supervisory integrity and compliance to ensure core fiduciary responsibilities are being met.

• Promotes client retention and identifies opportunities to build existing relationships through timely and accurate operational processing and service quality. Establishes and maintains strong relationships with customers and team members while providing quality service and support.

• Works with other specialists, consultants and managers to handle the day-to-day monitoring of the area including managing service levels for the call center and daily processing work. Developing ability to direct and coordinate the team's service activities and identifying changing service demands.

• Assists team members as they work through complex case work or items beyond their knowledge base.

• Prioritizes and organizes responsibilities and uses appropriate resources within and outside of immediate work area. Collaborates with internal customers and cross-functional teams to resolve problems as needed.

• May review work of office staff team members to ensure quality and accuracy. May contribute input into performance evaluation process.

• Participates in and may lead process improvement, product introduction, or system enhancement across the division. Participates in system testing and system maintenance that requires operational expertise.

• Keeps informed of developments in the industry and anticipates information needed by others and is responsible for communicating change.

Qualifications

• Bachelor's degree in Business or related field or equivalent industry experience.

• Broad professional knowledge of the investment industry gained through a minimum of three years in an investment service or operations capacity.

• Demonstrated leadership and interpersonal skills

• Demonstrated analytical skills and confidence to make judgments and decisions involving ambiguity

• Strong interpersonal and written communication skills

• Demonstrated ability to positively influence and work cooperatively with employees at all levels

• Demonstrated ability to proactively react to change

• Self-motivated and self-directed with the ability to manage multiple assignments with minimal guidance or direction

• Strong technical knowledge of the operational aspects related to brokerage and advisory services/products.>>Demonstrated ability to apply knowledge across complex business areas and manage projects in a cross functional environment.

• Strong business acumen and demonstrated ability to learn new business concepts and procedures.

• Depending on the specific job responsibilities assigned, this position could either require a minimum of a FINRA Series 6 or FINRA Series 7.

#LI-Remote

Compensation Range:

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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.

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 who welcomes and encourages diversity in the workforce. 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.

Industry Knowledge (NM) - Intermediate, Customer Service Mindset (NM) - Intermediate, Policy Inquiries & Complaints Management (NM) - Intermediate, Prioritization (NM) - Intermediate, Technical Problem Solving (NM) - Intermediate, Process Improvement (NM) - Intermediate, Policy & Procedure (NM) - Intermediate, Field Consulting (NM) - Intermediate, Cross Functional Partnering & Planning (NM) - Intermediate, Business Acumen (NM) - Intermediate, Consulting (NM) - Intermediate, Compliance (NM) - Intermediate, Customer Centricity (NM) - Intermediate, Analytical Thinking (NM) - Intermediate, Adaptive Communication (NM) - Intermediate, Root Cause Analysis & Decision Quality (NM) - Intermediate, Attention to Detail (NM) - Intermediate, Audits (NM) - Intermediate, Financial Services Industry Acumen (NM) - Intermediate, Change Adaptability (NM) - Intermediate, Customer Support (NM) - Intermediate, Investment Management Systems (NM) - Intermediate, Organization (NM) - Intermediate, Investment Products (NM) - Intermediate, Tax Awareness (NM) - Intermediate

We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups