JOB REQUIREMENTS: At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. At Northwestern Mutual, our vision is to deliver financial security to help our clients live their best lives by choice. A key pillar of our vision and success is our strong, vibrant sales force. This role sits within the Career Distribution (CD), which is at the forefront of working across the home office and sales force as one team to achieve the sales and growth objectives the company expects, while delivering the experience our distribution needs and deserves. Primary Duties & Responsibilities * Incumbent manages the process for developing policies and standards to meet regulatory learning requirements as prescribed by FINRA. * Analyze and interpret financial representative and home office registered representatives Continuing Education (CE) requirements. * Ensure financial representatives comply with CE requirements per FINRA regulation by established deadline. * Assist with building report completion information that will identify individuals who have satisfied all regulatory requirements and individuals who still need to satisfy the requirements. * He/she acts as NM Liaison with external financial services industry groups and education vendors. * NMIS Continuing Education (CE) program * Manage the FINRA CE (regulatory element) program, in conjunction with leadership within Contract, License and Registration department, to ensure FINRA compliance and adherence with company guidelines. * FINRA\'s Regulatory Element Training Plan strategy includes a Needs Analysis, written Communication Plan as development by Program Leads, Implementation Policy, and a Review and Evaluation Process. * The overall strategy is dynamic and allows for updating the Plan and adding or removing educational requirements and/or resources as appropriate. * Craft field communications announcing the training requirement, due dates, resourced for complying with the regulatory requirement and non-compliance consequences. * Monitor that registered reps have completed mandatory coursework to attain required CE credits by running reports and drafting appropriate communications to Directors of Network Office Supervision and registered reps who are out of compliance. * As this incumbent uncovers individuals or situations where there is a risk of not meeting the end of year deadline, information is communicated accordingly. * Conduct regular audits to ensure all applicable agents have completed the appropriate training. * Work with CLR to terminate registrations for those not in compliance. * Act as the FINRA liaison to negotiate exceptions around \"good cause shown\" needs. * Acts as a primary point of contact for the field as it relates to Regulatory Element CE. * Uncover potential process improvements regarding CE reporting and course completion data... For full info follow application link. EEO/AA Employer/Vets/Disability ***** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/5B73EF5059C84592 Qualified females, minorities, and special disabled veterans and other veterans are encouraged to apply.