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Compliance Field Engagement Consultant

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

An integral consulting partner between the Home Office, our Field Supervision teams and Financial Representatives. Working directly with the Vice Presidents of Distribution Performance, Field Leadership and Financial Representatives; learn their business and provide direct feedback and guidance on how they can grow their business, the right way. Consult on anything from appropriate sales practices to implementation of policies and procedures as you make recommendations to drive business results through ongoing consultative support to the Field and within the Home Office. Educate and train Representatives and their staff while performing branch inspections while aiming to improve divisional work processes. Collaborate with field leadership in developing, implementing, and executing risk management plans for their local offices.

Primary Duties & Responsibilities:

  • Partner with Network Office Supervision teams and home office Distribution Performance teams to assess and improve current compliance and supervision processes
  • Meet with Network Office Supervision teams when needed and perform annual branch inspection and routine consultation discussions
  • Analyze and interpret information about the Network Office’s business through a variety of methods to unearth weaknesses and problems, and comprehend the causes
  • Formulate recommendations and solutions with attention to local Supervision team and Distribution Performance team’s expectations
  • Complete on-site inspections and annual reviews of books and records of Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA.
  • Conduct interviews and client file reviews with representatives in field offices in accordance with firm policy and industry regulations.
  • Reviews and inspections consist of the following: consult with Regional Field Engagement team and leads the implementation of Network Office specific solutions to material and ongoing compliance issues; and ability to document, draft, and follow-up with detailed reports regarding field offices and individual registered representative visits; and document observations and findings of sales practices through interviews with field management and registered representatives; formulate recommendations and solutions with attention to local Supervision team and Distribution Performance team’s expectations and present findings and suggestions with ample justification and practical advice.
  • Assist in developing detailed supervision plans to drive small or ground-breaking changes, as necessary
  • Assist the local Supervision team in implementing the plan and resolve any occasional discrepancies
  • Execute on certain oversight and supporting tasks crafted to provide additional insight into Network Offices’ business activities.
  • Train new Field Engagement team members on divisional processes and procedures. Acts in mentor capacity for less experienced staff. Evaluates and resolves complex issues referred by team members.

Knowledge, Skills, Abilities:

  • Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
  • FINRA Series 7 & 24 required.
  • Minimum of 6 year of proven 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.
  • Sound decision-making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.
  • Strong analytical and problem solving skills.
  • Proven success in establishing effective team relationships.
  • Ability to identify and seek technical and operational problems; understand and recognize broader impact across the division
  • Ability to communicate complex ideas, anticipate potential objections and persuade others, often at senior levels, to embrace a different point of view
  • Ability to travel to field offices as required, up to 25%.

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Candidates must successfully complete and pass any required testing. 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

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.


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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.