Job Description Summary

Are you fascinated by every aspect of the financial services business and committed to providing the most outstanding service in the industry? Has your education, skill and professional experience prepared you to lead and contribute crucial work that delivers high quality service in collaboration with partners from multiple distribution channels? If you are passionate about putting your higher-level thinking to work in financial operations, we’d like to know more about you!

As a Supervisor, you'll provide first-level oversight of the day-to-day operations ensuring that an outstanding service experience is provided to our internal and external sales partners, firms, producers and customers. You'll ensure adherence to and enforcement of all financial controls, as well as legal and regulatory guidelines and regulations set forth by state insurance and securities departments, FINRA, SEC, NF Compliance and the NF Anti-Money Laundering Steering Committee.

Job Description

Key Responsibilities:

• Leads, supervises, and coordinates team roles and responsibilities. The team has a clear focus on processing customer requests through paper or electronic delivery of records. Adjusts, assigns, coordinates and implements production standards and schedule to adhere to compliance guidelines.

• Participates in assigned projects and task teams, provides input and guidance to support departments on team. Implements and maintains operational improvements that enhance delivery of services to customers, aligned with industry and regulatory requirements.

• Helps drive a culture of coaching and feedback for personal and professional guidance. Develops talent in the organization for succession planning and handles all performance management tasks and related functions for team.

• Provides education of current processes and procedures with internal customers. Helps build and strengthen internal relationships through presentations, firm and/or direct advisor contact.

• Monitors workflow to ensure that all functions are completed in a timely manner and meets quality standards. Responds to advanced service issues and calls from. Provides outstanding service through call team and client service groups.

• Oversees financial and regulatory control processes and assists in frequent control testing to ensure corporate compliance with all applicable industry regulations and requirements. Drafts responses to regulatory agency reports and findings and works closely with Corporate Compliance to resolve any issues.

• Takes audit recommendations and calibration sessions through the continuous improvement model. Assists in finding opportunities for processes and procedures to be improved and aligned to ensure consistency and adherence to regulatory requirements. Helps use findings to identify key process and/or technology needs within the Operation Center. Applies of lean/6-sigma continuous improvement tools.

• Assists in managing expenses to the established budget and under general direction, implements solutions to streamline process and reduce operating expenses.

• Conducts producer screening and background investigation reviews to ensure producer candidates are of good character; prepares case files to be reviewed by the Licensing & Appointment Review Committee and communicates with candidates who have been denied appointment with the Nationwide Life Companies and/or Nationwide affiliated broker-dealers.

• Supervises, as requested, staff responsible for analyzing, selecting and classifying applications in accordance with established underwriting policies, practices and standards, as well as administering product selection standards according to underwriting practices and procedures to achieve satisfactory experience and acceptable administrative results.

May perform other responsibilities as assigned.

Reporting Relationships: Reports to Manager, Director or Associate Vice President; five 20 associates report to this role.

Typical Skills and Experiences:

Education: Undergraduate studies in business administration, management, finance, pre-law or related field and/or technical insurance coursework preferred.

License/Certification/Designation: FINRA Series 6 and 26 licenses may be required.

Experience: Minimum of five years financial services experiences in a customer service, quality control or operations environment. Supervisory experience preferred.

Knowledge, Abilities and Skills: Extensive knowledge of insurance industry concepts including, but not limited to, financial services products, regulations, and guidelines Effective team leadership and management skills. Strong verbal and written communication skills. Relationship building skills.

Other criteria, including leadership skills, competencies and experiences may take precedence.

Staffing exceptions to the above must be approved by the department Vice President and HR Business Partner.

Values: Regularly and consistently demonstrates the Nationwide Values.

Job Conditions:

Overtime Eligibility: Not Eligible (Exempt)

Working Conditions: Normal office conditions. May require infrequent travel.

ADA: The above statements cover what are generally believed to be principal and essential functions of this job. Specific circumstances may allow or require some people assigned to the job to perform a somewhat different combination of duties.