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Anti Money-Laundering Senior Specialist

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons why people choose to build careers at Northwestern Mutual.

We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative, and growing.

We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.

We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees, and financial representatives donate time, talent, and financial support to causes they're passionate about.

What you will do:

Supports the Anti Money-Laundering (“AML”) Program within the Enterprise Compliance department, and cross-departmental compliance efforts. Responsibilities include support across all aspects of Northwestern Mutual’s AML program to include the company’s insurance, investment, and wealth management entities. Works with AML team members and related support teams to help ensure the Firm’s AML program complies with regulatory expectations. Works with business partners and operational areas to ensure adequate policies, procedures and controls are documented and retained in support of the AML program.

How you will do it:

  • Assist the AML Compliance Officer in the identification, documentation, and resolution of AML investigations, including AML filings and reporting: process necessary Suspicious Activity Reports and Form 8300 filings for cash equivalent cases.
  • Perform quality reviews of AML alert resolutions and share feedback with the respective AML alert triage teams to ensure accurate and timely handling of alerts.
  • Support the AML program through compliance with the Customer Due Diligence regulation by auditing new accounts as well as reviewing the triggering event reports for previously opened accounts.
  • Consult with the Northwestern Mutual field force and operations areas in answering questions related to Customer Due Diligence form completion, the processing of international wire payments and the understanding of the firm’s policies and procedures.
  • Actively participate in and contribute to the regularly scheduled meetings between the AML team and the Special Investigations Unit (SIU) involving investigations of suspicious activity.
  • Collaborates with business partners, procedure owners, and departmental compliance coordinators to assist in the maintenance and retention of policies and procedures. Work with departments to develop policy and procedure content for new regulatory requirements.

Bring Your Best! What this role needs:

  • Bachelor's degree in business, finance or related and/or equivalent work experience with strong exposure to insurance operations, brokerage operations, banking, or audit.
  • Minimum of 6 years of operational transaction experience, to include monitoring and trending in the financial services or insurance industries, is required.
  • Knowledge of insurance and investment product lines is required.
  • Certified Anti-Money Laundering Specialist designation required or acquired within one year of hire.
  • Outstanding written and oral communication skills with ability to build rapport and gain acceptance at all levels.
  • Analytical, organizational, and interpersonal skills are required.
  • Ability to deal with ambiguity and emerging industry best practices.

Benefits:

Great pay package, 401K, company sponsored retirement plan, educational assistance, performance-based incentive pay, medical, dental and vision insurance, parental leave, caregiver time off….and more!

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This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.

Required Certifications:

Non-Registered Fingerprinted - FINRA

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

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in Colorado or outside of a Corporate location, please click here for information pertaining to compensation and benefits.


FIND YOUR FUTURE

We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.