The posting
About The Job
As a member of the compliance team, you will build foundational knowledge of the regulatory environment, internal policies, and risk management practices that support the business. Working with more experienced team members, you will assist with compliance reviews, monitoring activities, issue tracking, reporting, and process improvements. This role also supports divisional projects while helping promote a strong culture of compliance.
What You'll Do:
- Assist with compliance reviews, monitoring activities, and routine testing to help evaluate adherence to internal policies, procedures, and applicable regulatory requirements.
- Support the documentation of observations, findings, and follow-up actions by preparing summaries, reports, and tracking materials.
- Review records, data, and supporting materials for accuracy, completeness, and consistency with established requirements.
- Respond to routine compliance-related questions and provide day-to-day support through shared team channels, including phone queues and email mailboxes.
- Assist with issue tracking, remediation follow-up, and coordination with business partners to support timely resolution of compliance matters.
- Contribute to projects by gathering information, maintaining documentation, and supporting process improvements
What You'll Bring:
- Bachelor's degree is preferred, or an equivalent combination of education and relevant experience.
- Ability to prioritize work, manage multiple tasks, and seek guidance when appropriate while working effectively within a team environment.
- Demonstrated ability to build effective working relationships with team members and business partners.
- Strong analytical and problem-solving skills, with the ability to review information, identify issues, and apply sound judgment.
- FINRA SIE, Series 7 & 24 can be obtained within department specifications.(preferred)
Skills You'll Have:
- Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.
- Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
- Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.
- Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.
- Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.
#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:
$60,880.00
Pay Range - End:
$91,320.00
Geographic Specific Pay Structure:
Structure 110:
$66,960.00 USD - $100,440.00 USD
Structure 115:
$70,000.00 USD - $105,000.00 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.
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Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
