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Assistant Director, Compliance Systems

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

Summary:

To lead and own business requirements for supervision of Social Media and eCommunications within our compliance monitoring systems.
 

Responsibilities:

  • Business owner combining deep subject matter expertise, vision and strategy, systems thinking and product management capabilities to maintain highly coordinated and effective digital solutions, tools and controls for eCommunications and Social Media Compliance.
  • Possess a high level of knowledge FINRA Rule 3110 Review of Electronic Correspondence and Internal communications to ensure policies are adhered to through the use of supervisory systems.
  • Proactively collaborates with the business partners and key collaborators to understand business needs, strategy, operational and processing requirements to make system improvements and efficiencies. This work includes management of feature requirements and supporting artifacts encompassing needs, partner solution requirements, dependencies, timelines, landmarks, and success criteria.
  • Apply data-driven decision-making and data/analytic resources across the division to:
  • Assess and evaluate eCommunication trends and social media usage,
  • Make system improvements or build new supervision policies,
  • Adopt strategies of advance machine learning or automated intelligence, and
  • Generate performance forecasts based on quantitative and qualitative insights
  • Align strategy to execution through the development and maintenance of product roadmaps, outlining the body of work expected now, next, and into the future, including vendor upgrades. Partnering with technical resources on prioritization and delivery of the roadmap, ensuring the advancement of the most impactful features within budget.
  • Accountable for system health, testing and effectiveness, supervising and measuring compliance data to ensure systems are designed to appropriately address potential risks.
  • Build and maintain vendor relationships to influence and advance our strategies and priorities on social platforms; educating on Northwestern Mutual business requirements and processes. Represent Northwestern Mutual at industry and vendor events; Build a network of peers across the industry for benchmarking.
  • Analyze the industry and regulatory landscape to proactively mature or improve supervisory systems in response to regulatory needs working with all subsidiary Chief Compliance Officers and senior leaders across the organization.
  • Provide representation and advocacy in cross-departmental project teams focusing on compliance, supervision, regulatory issues, servicing, etc., and coordinate efforts when needed.
  • Accountable for all regulatory requests related to surveillance systems; including examination of regulatory requests, data completion verification, validation of data integrity, and provide responses or documentation on automated solutions.
  • Responsible for supervision model governance.
  • Leads review process to assess key supervisory and compliance related risks, including anticipating changes in such risks, and develop appropriate mitigation, education or other means to address such risks.
  • Perform training, mentoring and SME support for new supervisors and divisional employees.
  • Lead the CSM team through direct leadership of direct reports and indirect influence and task assignment authority for other divisional associates, mentoring and developing all team members to fulfill their potential and support the surveillance strategy and systems.
     

Requirements:

  • Requires a bachelor's degree or comparable related experience in business.
  • Advanced degree (MBA, JD, CPA or professional certification) preferred.
  • Minimum of 8 years’ experience in eCommunications or Social Media surveillance, system management or financial services.
  • Solid understanding of industry knowledge and experience building and managing controls to enforce and advance electronic communications and social media supervision.
  • Experience in developing policy and building consensus on new business processes, training and tasks as they relate to compliance, supervision and regulatory oversight.
  • Strong leadership skills with the ability to delegate and direct work in a way that increases both personal and team efficiency.
  • High degree of personal initiative and self-motivation; ability to work on concurrent efforts, set priorities, and meet deadlines.
  • Strong understanding of message data and ability to demonstrate data to advance compliance monitoring and surveillance systems.
  • Includes the ability to use networks by identifying and cultivating relationships with key partners representing a broad range of functions and levels.
  • Excellent oral communication and interpersonal skills when working with key internal and external parties to include ability to build constructive and effective relationships; ability to manage substantive conflicts and disagreements while building consensus and collaboration.
  • Proven previous research experience, influence skills, initial leadership exposure, ability to translate regulatory requirements and policies into technical requirements, and work in ambiguity and solutioning.
  • Series 7 and 24 required.

     

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This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA

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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.

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