Northwestern Mutual

Compliance Sr. Specialist

Northwestern Mutual$70K — $121K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor's degree preferred or equivalent experience.
  • FINRA Series 7 & 24 required.
  • Minimum of 4 years of relevant experience in insurance, investment, or financial services.
  • Proficient in Microsoft Office, particularly Excel.
  • Strong ability to prioritize tasks and collaborate with teams.
  • Established success in building effective team relationships.
  • Analytical problem-solving skills with a focus on technical judgement.

Responsibilities

  • Complete on-site inspections and annual reviews according to FINRA for field offices.
  • Conduct interviews and client file reviews in compliance with firm policies and regulations.
  • Collaborate with Regional Oversight for tailored compliance solutions.
  • Document and report detailed observations of sales practices through field visits.
  • Educate and consult with representatives and management on compliance regulations.
  • Assist with divisional and enterprise-wide projects as a subject matter expert.
  • Execute oversight and support tasks for insight into business activities.

Benefits

  • Healthcare and wellness program options.
  • Retirement savings plan with company contribution.
  • Flexible work arrangements including hybrid options.
  • Continuous professional development opportunities.
  • Collaborative work culture with strong team dynamics.
Full Job Description
About the Role

Assist the Vice Presidents of Distribution Performance, and their Regional Oversight and Engagement teams in the ongoing support and delivery of Compliance and Supervision consultation to Field Leadership, Financial Representatives, and Home Office business partners. Provide consultative support on anything from appropriate sales practices to implementation of policies and procedures. In addition, you will provide support for various divisional, departmental and enterprise-wide projects as subject matter expert. Educate and train Representatives and their staff while performing branch inspections while striving to improve divisional work processes. Collaborate with field leadership in developing, implementing, and executing risk management plans for their local offices.

What You'll Do
  • 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.


What You'll Bring to the Role
  • 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.


#LI-Hybrid

Candidates must successfully complete and pass any required testing.Series 24 - FINRAFINRA, Series 7 - FINRAFINRA, SIE - FINRAFINRA

Compensation Range:

Pay Range - Start:
$70,320.00

Pay Range - End:
$105,480.00

Geographic Specific Pay Structure:

Structure 110:
$77,360.00 USD - $116,040.00 USD

Structure 115:

$80,880.00 USD - $121,320.00 USD

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

About Northwestern Mutual

Northwestern Mutual has been helping people and businesses achieve financial security for more than 160 years. Through a holistic planning approach, Northwestern Mutual combines the expertise of its financial professionals with a personalized digital experience and industry-leading products to help its clients plan for what's most important. Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, annuities, and brokerage and advisory services. The company manages billion of dollars of investments owned by its clients and held or managed through its wealth management and investment services businesses. Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM), Milwaukee, WI (life and disability insurance, annuities, and life insurance with long-term care benefits) and its subsidiaries. Subsidiaries include Northwestern Mutual Investment Services, LLC (NMIS) (securities), broker-dealer, registered investment adviser, member FINRA and SIPC; the Northwestern Mutual Wealth Management Company® (NMWMC) (fiduciary and fee-based financial planning services), federal savings bank; and Northwestern Long Term Care Insurance Company (NLTC) (long-term care insurance).

Northwestern Mutual Careers

Joining Northwestern Mutual presents a unique opportunity to be part of a team that is dedicated to empowering personal and professional growth, innovation, and leadership in the financial services industry. As a company renowned for its commitment to excellence and a culture that values diversity and inclusion, Northwestern Mutual offers unparalleled job opportunities for both seasoned professionals and those at the start of their careers.

Work You’ll Do

At Northwestern Mutual, we believe in building strong relationships not only with our clients but also among our team members. By joining our team, you will collaborate with some of the most talented professionals in the industry, all united in their commitment to leadership and innovation. Our employees are equipped with top-tier benefits and diversity training that ensure their career journey is both rewarding and inclusive.

Explore Professional Growth and Development

Northwestern Mutual is committed to fostering an environment where career growth is not just a possibility but a priority. With a variety of positions available, from financial representatives to internships for budding professionals, our company is a place where your skills and passion can thrive. We provide extensive training programs and leadership development opportunities that prepare you for success in your current role and beyond.

Innovative Work Environment

Our team at Northwestern Mutual is at the forefront of integrating cutting-edge technology and innovative financial strategies to provide exceptional service to our clients. This focus on innovation is not just about staying current; it's about leading the way in the financial sector. Employees at all levels are encouraged to contribute ideas and take initiative, driving the company forward as a leader in the financial industry.

Be Part of Our Diverse and Inclusive Team

Diversity and inclusion are more than just buzzwords at Northwestern Mutual; they are integral to our company culture and business strategy. We are committed to creating a workplace where all employees can flourish. Our diversity training programs are designed to enhance understanding and foster an inclusive environment for all team members.

Networking and Career Advancement

Networking within Northwestern Mutual opens doors to expansive career advancement opportunities. We encourage our employees to engage in internal networking events, which often lead to mentorship and further career development. Whether you are looking to enhance your resume, prepare for an interview, or step into a leadership role, Northwestern Mutual provides the resources and support to help you achieve your professional goals.

Join Our Team

Search open positions that match your skills and interests. We are looking for passionate, curious, and solution-driven team players who are ready to take their career to the next level. Explore the job opportunities and internships available at Northwestern Mutual and find out how you can contribute to our legacy of innovation and leadership.

Stay Connected

Keep up to date with career tips, insider perspectives, and industry-leading insights you can put to use today—all from the people who work here. Personalize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities that await at Northwestern Mutual.

SEARCH NORTHWESTERN MUTUAL JOBS

Join us and start your journey at Northwestern Mutual today, where your career is nurtured, your skills are honed, and your achievements are celebrated.
Learn more about Northwestern Mutual
Size
7,000 employees
Industry

Similar Jobs

More Jobs at Northwestern Mutual

  • Northwestern Mutual
    Financial Advisor
    $61K — $250K *
    Leawood, KS 66209 (Johnson County)
    Finance & Insurance
    In-Person
  • Northwestern Mutual
    Financial Advisor
    $61K — $250K *
    Birmingham, AL 35242 (Shelby County)
    Finance & Insurance
    In-Person
  • Northwestern Mutual
    Financial Advisor
    $61K — $250K *
    Farmingdale, NY 11735 (Nassau County)
    Finance & Insurance
    In-Person
  • Northwestern Mutual
    Financial Advisor
    $61K — $250K *
    Orlando, FL 32828 (Orange County)
    Finance & Insurance
    In-Person
  • Northwestern Mutual
    Financial Advisor
    $61K — $250K *
    Tulsa, OK 74133 (Tulsa County)
    Finance & Insurance
    In-Person

More Finance & Insurance Jobs

Find similar Compliance Sr. Specialist jobs: