Robert E. Lee

I lead the Supervision team (3-5 staff members) for Northwestern Mutual - Minneapolis, this includes the OSJ located in downtown Minneapolis and numerous Registered Branch Offices located throughout MN. This include all aspects of Compliance from OBA review, email review, advertising, audits and day-to-day supervision of 150+ registered representatives and another 500+ team members and many other functions. Key member in shaping the culture of compliance within the entire network office. Member of the Executive Leadership Team, partnering with other members of the ELT to translate vision into action and drive toward desired outcomes.

I managed the day-to-day compliance of registered representatives and their teams; including advertising review, email review, auditing, training, regulatory testing, etc. Instrumental in the development and implementation of compliance policies to ensure adherence to regulatory standards.

Development and implementation of compliance policies to align with regulatory requirements. This was done by conducting risk assessments to identify potential compliance vulnerabilities and recommended solutions. Including leading training sessions to enhance staff understanding of compliance regulations and best practices. Collaboration with cross-functional teams to ensure adherence to industry standards and internal procedures.

As a Regional Compliance Specialist I was the primary compliance contact for a region of the country. This included review of OBAs, email review, correspondance review, as well as conducting ~100 field audits each calendar year.