Northwestern Mutual

Senior Sales Practices Specialist

Northwestern Mutual$70K — $105K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Bachelor's degree in business, finance, law, risk management, or related field preferred, or equivalent experience.
  • FINRA Series SIE, Series 7, and Series 24 required.
  • 3 to 5 years of relevant experience, preferably in financial services, insurance, or investment industry.
  • Strong analytical and problem-solving skills with the ability to assess risk.
  • Effective communication skills to translate compliance requirements into practical guidance.
  • Knowledge of insurance and investment products and operations.

Responsibilities

  • Independently perform compliance reviews to evaluate regulatory adherence and internal policies.
  • Document findings and risk assessments with clear analysis.
  • Support identification and resolution of compliance issues, coordinating with business partners.
  • Evaluate risk severity and escalate complex issues as necessary.
  • Provide guidance on routine to moderately complex compliance requirements.
  • Respond to compliance questions and interpret policy and regulatory expectations.
  • Build relationships with stakeholders to facilitate issue resolution.
  • Identify opportunities for developing or improving compliance processes.

Benefits

  • Comprehensive health insurance plans.
  • Retirement savings plan with company match.
  • Generous paid time off and holidays.
  • Opportunities for career advancement and professional development.
  • Flexible work arrangements, including remote/hybrid options.
Full Job Description

About The Job

The ComplianceSenior Specialistrole applies intermediate knowledge of regulatory requirements, internal policies, and risk management practices to independently execute compliance activities and support risk mitigation efforts. This role bridges execution andconsultingresponsibilities by handling more complex work, exercising judgment within defined frameworks, and partnering with stakeholders to address compliance risks.

The role contributes to monitoring, analysis, issue resolution, and process improvement while beginning to provide guidance to business partners and less experienced team members.

What You9ll Do:

  • Independently perform compliance reviews to evaluate adherence to regulatory requirements, internal policies, and procedures

  • Document findings, observations, and risk assessments with clear, well-supported analysis

  • Support identification, tracking, and resolution of compliance issues, including coordination with business partners on remediation efforts

  • Evaluate risk severity and escalate complex, sensitive, or ambiguous issues as needed

  • Provide guidance to business partners on routine to moderately complex compliance requirements, policies, and processes

  • Respond to compliance-related questions and help interpret policy and regulatory expectations in practical terms

  • Build effective working relationships with cross-functional stakeholders tofacilitateissue resolution and alignment

  • Identifyopportunities todevelop orimprove compliancepolicies, procedures,processes, controls, and documentation

  • Participatein orleadcomponents of process improvement initiatives and projects

What You'll Bring To The Role

  • Bachelor's degree in business, finance, law, risk management, or a related field preferred, or an equivalent combination of education and experience.

  • FINRA Series SIE, Series 7, and Series 24 required.

  • Minimum of 3 to 5 years of relevant experience. Experience in the financial services, Insurance, or Investment industry preferred

  • Demonstrated ability to independently manage workload and prioritize competing responsibilities

  • Strong analytical and problem-solving skills with the ability to assess risk and apply sound judgment

  • Effective communication skills, with the ability to clearly translate compliance requirements into practical guidance

  • Knowledge of insurance andinvestmentproducts and operations.

  • Ability to solve complex problems; take a new perspective on an existing solution; exercise judgement based on the analysis of multiple sources of information.

#LI-Onsite, #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:

$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. It9s 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 you9re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click to learn more.


Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!


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
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7,000 employees
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