Jonathan Viard

Experience

• 

  Chase

  Aug 2006 - May 2007

  Item Processing Specialist
• 

  Marquette University Office Of the Bursar

  Jun 2008 - May 2010

  Student Account Representative
• 

  Northwestern Mutual

  Jul 2010 - now

  Worked alongside Chairman, President and CEO, John Schlifske, and other senior leaders across the Enterprise to lead, build and advance sustained action for racial equity. Driving toward four strategic outcomes: (1) Creating a Culture of Belonging, (2) Elevating World Class Talent, (3) Building Financial Inclusion and Black/African American Prosperity and (4) Ensuring Marketplace Impact and Relevance. • Led the growth and development of a start-up division that assists our company and advisors as they build their practices the right way.• Develop and implement strategy and goals for the department.• Ensure compliance with regulations and internal policies.• Assist with the maintenance and advancement of the firm's overall supervision program.• Work with other teams across the Enterprise to identify risks and clear impediments. • Conducted detailed analysis and audits of advisor practices and OSJ operations.• Ensured employees and advisors were well educated on the latest regulations and processes. • Assessed company and branch operations to determine compliance risk. • Created and managed effective action plans in response to discoveries and compliance violations.• Served as firm representative during numerous regulatory examinations. • Led agency-wide investment operations functions consisting of 5 branches and over 150 financial advisors.• Responsible for all investment related customer service activities.• Supported compliance officer to enforce policies and ensure firm compliance.• Developed and delivered effective individual and firm-wide training sessions.

  • Senior Director - Investment Compliance

    Jan 2023 - now

  • Program Lead - Sustained Action for Racial Equity Task Force

    Jan 2022 - Aug 2024

  • Senior Director - Supervision

    Jun 2021 - Jan 2023

  • Assistant Director - Centralized Supervision

    Jun 2018 - Jun 2021

  • Compliance Oversight and Review Consultant

    Apr 2014 - Jun 2018

  • Disability Income Underwriter

    Apr 2013 - Apr 2014

  • Investment Operations Manager - The South Florida Group

    Mar 2012 - Apr 2013

  • Life Insurance Underwriter

    Apr 2011 - Mar 2012

  • Customer Service Representative | Policyowner Services | Enterprise Solutions

    Jul 2010 - Apr 2011