Compliance Sr. Specialist

Compliance Sr. Specialist assists Vice Presidents of Distribution Performance and Regional Oversight and Engagement teams in supporting Compliance and Supervision consultation to Field Leadership, Financial Representatives, and Home Office business partners. Provides consultative support on sales practices, policy implementation, and project execution. Conducts on-site inspections, interviews, and client file reviews. Educates and trains Representatives and their staff on federal and state securities/insurance regulations and Northwestern Mutual compliance policies and procedures.

Requirements

• FINRA Series 7 & 24 required
• Bachelor's Degree Preferred or equivalent combination of education and experience preferred
• Minimum of 4 years 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

Benefits

• Health insurance
• Retirement plan
• Tuition reimbursement
• Relocation assistance