Northwestern Mutual

Enterprise Compliance Differentiated Solutions Consultant

Northwestern Mutual$81K — $121K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • 3+ years in financial services compliance or related field
  • Familiarity with compliance regulations and risk management processes
  • Understanding of business operations and stakeholder roles
  • Strong analytical and problem-solving abilities
  • Excellent written and verbal communication skills
  • Experience with training and guidance documentation preferred
  • Ability to prioritize in a collaborative environment
  • FINRA Series 7 and Series 24 required

Responsibilities

  • Provide consultation on compliance and supervision topics
  • Gather and communicate information for workflow improvements
  • Contribute insights for continuous improvement of compliance strategies
  • Facilitate communication across teams for compliance alignment
  • Support design and delivery of training based on data trends
  • Engage in core compliance initiatives and monitor processes
  • Drive process and operational improvements with stakeholders

Benefits

  • Hybrid work model
  • Participation in strategic compliance initiatives
  • Professional development opportunities through training and guidance
  • Collaborative work environment
  • Exposure to complex compliance issues and solutions
Full Job Description
About the Job:

The Enterprise Compliance Differentiated Solutions Consultant is an individual contributor role responsible for supporting compliance strategies and practical business solutions for complex field practices. This role partners across Enterprise Compliance, supervision, and field stakeholders to analyze issues, support solution development, and promote consistent execution. The position contributes to effective collaboration through issue resolution support, information sharing, and participation in strategic compliance initiatives.

What You'll Do:
  • Provide consultation and support on complex compliance and supervision topics, including researching issues, coordinating questions, and supporting timely resolution.
  • Gather, organize, and communicate information needed to support a consistent cross-network office experience, including workflow improvements related to cross-territory challenges.
  • Support the development and continuous improvement of compliance approaches by contributing insights related to business strategy, team dynamics, client focus, and operational effectiveness.
  • Facilitate communication across compliance teams, business partners, and field stakeholders to support alignment on compliance priorities and risk considerations.
  • Support the design and delivery of targeted training and guidance in response to data trends, industry changes, and evolving risks.
  • Support core compliance initiatives, including annual training and attestation monitoring, contracting workflow processes, staff compensation processes, and transaction reviews.
  • Contribute to process, policy, and operational improvements through close partnership with field and business stakeholders.

What You'll Bring to the Role:
  • 3+ years of experience in financial services compliance, supervision, risk management, or a related field.
  • Working knowledge of compliance regulations, supervision practices, and risk management processes.
  • Understanding field structure, business operations, and stakeholder roles.
  • Strong analytical and problem-solving skills, with the ability to identify practical solutions to complex issues.
  • Strong written and verbal communication skills and the ability to build effective working relationships across functions.
  • Ability to support compliance initiatives aligned with broader business objectives.
  • Experience supporting training, guidance, or process documentation preferred.
  • Ability to manage multiple priorities and work effectively in a fast-paced, collaborative environment.
  • FINRA Series 7 and Series 24 are required.


#LI-Hybrid

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA

Compensation Range:

Pay Range - Start:
$81,280.00

Pay Range - End:
$121,920.00

Geographic Specific Pay Structure:

Structure 110:
$89,440.00 USD - $134,160.00 USD

Structure 115:

$93,440.00 USD - $140,160.00 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

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