Kristina Acker
Assistant Director - Field Engagement
- Role
- Assistant Director - Compliance Oversight & Engagement at Northwestern Mutual
- Location
- Milwaukee, WI, US
- LinkedIn followers
- 500 followers
Experience
Assistant Director - Compliance Oversight & Engagement
Jan 2014 — Present · Milwaukee, WI, US
Conduct comprehensive on-site, annual inspections of books and records for our network and branch offices, as required by firm policy and FINRA regulations through a review of systems and a series of in-person and virtual interviews with representatives, field staff, and field leaders.Provide consulting to registered representatives, field leadership, and home office personnel regarding policy interpretations and assist in the incorporation of efficient, practical, compliant practices into the business workflow.
Education
Lubar College of Business
Bachelor of Business Administration (B.B.A.), Human Resources Management and Services
2007 — 2012
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