Financial Consultant (Milwaukee, WI)

Our Customer is an American financial services mutual organization based in Milwaukee. The financial security company provides consultation on wealth and asset income protection, education planning, retirement planning, investment advisory services, financial planning trust and private client services, estate planning and business planning. Its products include life insurance, permanent life insurance, disability income, and long-term care insurance; annuities; investments; and investment advisory products and services.

Our Customer is looking for a Financial Consultant with FINOP experience to fill a critical short-term position with an immediate start. This role is essential to enable knowledge transfer and job shadowing, addressing urgent needs while evaluating the long-term potential of an outsourced solution. This role is onsite in Milwaukee, WI.



Responsibilities:

• Regulatory Filings: Prepare and provide supervisory sign-off on NMIS' net capital computation and various regulatory filings (FOCUS, SSOI, Form Custody, etc.)
• Internal Controls: Maintain internal control documentation relating to regulatory reporting policies and procedures
• Collaboration: Build internal networking relationships and collaborate with Legal, Compliance, Risk, Finance/Accounting, and Products/Services teams to investigate and resolve issues, communicate adjustments, determine capital distributions, and provide regulatory and accounting guidance
• Financial Presentation: Prepare and present financial results to the Board of Directors, Accounting Committee, Information Technology Steering Committee, and Executive Committee
• Regulatory Expertise: Author internal memoranda on regulatory matters and status reporting
• Liaison: Act as a subject matter expert and liaison to external independent auditors and regulators
• Team Supervision: Potentially supervise a staff of 5-10 employees

• Financial Systems: Peoplesoft Financials (General Ledger platform)
• Series 27 License: Essential for sign-off on regulatory filings
• Regulatory Rules: Subject matter expertise with the “Net Capital Rule” (SEA Rule 15c3-1)
• Regulatory Filings: SEC and FINRA regulatory filings, including FOCUS, SSOI, Form Custody, SIS/OBS, 17-H, Form BD
• Additional Filings and Assessments: SIPC forms 6 and 7, FINRA and GASB assessments, audited financial statements to SEC/FINRA and State regulatory authorities
• Financial Statements: Preparation of internal financial statements and presentation to senior management

Contractor benefits are available through our 3rd Party Employer of Record (Available upon completion of waiting period for eligible engagements)
Benefits include: Medical, Dental, Vision, 401k.