Skip to content

Assistant Director, Retail Compliance

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

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.

Summary

In collaboration with and under the direction of the Chief Compliance Officer (CCO) of NMIS and NMWMC and divisional leadership, this role is responsible for providing advanced support, building relationships and consulting across the enterprise on a wide variety of topics to advance the company's compliance culture while ensuring business objectives are achieved.

Primary Duties & Responsibilities

  • Execute the strategy for Retail Compliance team engagement across the enterprise with the objective of advancing the company's culture of compliance while achieving business targets.

  • Understand applicable rules and regulations to independently identify, assess and consult to the mitigation of risk with enterprise business partners across a wide range of compliance topics.

  • Resolve complex or unusual compliance risk issues in partnership with business partners and communicate across enterprise stakeholders to ensure alignment.

  • Identify and assess compliance implications to business area(s) from new and/or updates to rules and regulations and new and/or updates to products and services offered through NMIS and NMWMC.

  • Serve as a SME on areas of specialized technical expertise for partners within Enterprise Compliance.

  • May have ownership of programs on behalf of the enterprise and ensure work associated with such programs is executed.

  • Participate in projects or efforts in support of the division or department priorities/objectives as needed.

Qualifications:

  • Bachelor's Degree Preferred or equivalent combination of education and experience preferred.

  • FINRA series 7 & 24 required or can be obtained within 6 months of hire.

  • Minimum of 6 years of relevant experience. Experience in financial services preferred.

  • Experience in securities/insurance operations, information technology, law, regulatory, audit, or testing preferred.

  • Strong organizational leadership presence and proven ability to cultivate relationships and influence individuals at all levels of the organization.

  • Understanding of the financial services / insurance / securities industry.

  • Ability to cultivate relationships at all levels of the organization.

  • Broad knowledge of Northwestern Mutual compliance systems and business model inclusive of the home office and field.

  • Ability to direct the resolution of complex business problems by applying advanced critical thinking.

  • Ability to communicate complex ideas, and assist in anticipating potential oppositions.

Skills-Proficiency Level:


Compliance Consulting - Advanced
Identifying Risks - Advanced
Negotiation - Advanced
Policy Setting - Advanced
Process Development - Advanced
Regulatory Requirements - Advanced
Relationship Building - Advanced
Risk Mitigation Strategies - Advanced
Sales Process - Intermediate
Securities Regulations - Advanced
Solutioning - Advanced

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

#LI-Hybrid

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

Required Certifications:

Series 24 - FINRA, Series 7 - FINRA

Compensation Range:

Pay Range - Start:

$90,930.00

Pay Range - End:

$168,870.00

Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.

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 California, Colorado, New York City, Washington 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.