Compliance Sr. Specialist

• Complete on-site inspections and annual reviews of books and records of Offices of Supervisory Jurisdiction Registered Branch Offices and other field locations as required by FINRA.
• Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry regulations.
• Reviews and inspections consist of the following: Consult with Regional Oversight and Engagement team to assist with the creation and implementation Network Office specific solutions to material and ongoing compliance issues; and ability to document draft and follow-up with detailed reports regarding field offices and individual registered representative visits; and document observations and findings of sales practices through interviews with field management and registered representatives.
• Effectively communicate educate train and consult to registered representatives field management field supervisors and home office personnel regarding federal and state securities/insurance regulations and Northwestern Mutual compliance policies and procedures.
• Partner with Network Office Supervision teams the Regional Oversight and Engagement teams and home office Distribution Performance teams to assist with the assessment and improvement of current compliance and supervision processes.
• Provide support for various divisional departmental and enterprise wide projects as subject matter expert. This requires collaboration and communication with various levels of internal and external associates review of relevant documentation and interpretation and application of industry regulations/state statutes to create efficiencies mitigate firm risk and comply with industry regulations.
• Execute on certain oversight and supporting tasks designed to provide additional insight into Network Offices' business activities.
• Maintain a strong knowledge of: regulations industry standards company policies/practices NM distribution systems products and culture in order to make independent decisions; consult with appropriate team resources as needed and drive highly effective communication.

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
• FINRA Series 7 & 24 required.
• Minimum of 4 year of relevant experience. Experience in insurance investment or financial services industry preferred.
• Knowledge of Microsoft Office with strong emphasis on Excel proficiency.
• Ability to prioritize workload and seek support when appropriate as well as work within a larger team.
• Proven success in establishing effective team relationships.
• Ability to solve problems by analyzing all possible solutions using technical experience judgement and precedent.
• Ability to explain difficult or sensitive information.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups

What We Do

You’ll Like It Here At Northwestern Mutual we believe that our lives and our work matter. And that doing what’s right is good for everyone. We follow through by designing tech that improves the community and cultivating creative ways to make finance accessible anywhere. These guiding principles have allowed our company to grow for more than 160 years. Here you’ll be with a team who emphasizes integrity and prioritizes security to design experiences that better everyone. You’ll work in cross functional teams to create optimal solutions that are rooted in innovative strategy and thoughtful execution. And you’re provided development tools and opportunities to become a leader all with the support of a collaborative team. You’ll be surrounded in a culture that values innovation and works to always evolve to stay ahead of trends and client needs. We are intentional in seeking out team members who will challenge us. Our employees choose us for the career opportunities commitment to philanthropy and desire to have a meaningful impact in the lives of our clients. You have career passions and goals. We have ambition and opportunity for you to grow your future in tech. Discover today: https://careers.northwesternmutual.com/

Why Work With Us

We invest in our people. We know careers are about choices so we provide intentional opportunity. Here you can build creative ways to make finance accessible anywhere and revolutionize traditional processes. As a mutual company our focus is our people — whether professional development or investments in the community. 

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