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Compliance Support Representative

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

Job Description

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.

Primary Duties and Responsibilities:

As a Compliance Support Representative, you will be integral to supporting Enterprise Compliance. You will perform compliance-related tasks that vary between department needs requiring you to exhibit an agile mentality. Your duties encompass issues identification and resolution, research and evaluation using resources, and handling of routine casework processing. In consultation with higher-level staff, you'll be handling standard and non-standard casework, deciding on the appropriate course of action, making referrals to the appropriate provider, identifying the need for special handling as appropriate, and taking ownership for the efficient escalation of non-standard activities. As a teammate, you'll benefit professionally from the opportunity to share knowledge and seek the advice of your peers as you contribute to the realization of the team's business goals; quality, productivity and customer satisfaction are your highest priorities.

How you will do it:

  • Deliver timely and accurate processing of compliance operations (i.e., personal securities account processing, marketing compliance reviews, outside business activity processing, political contribution monitoring, and day to day compliance support tasks).

  • Resolve operational problems within the defined timeframes and service level agreements.

  • Analyze root causes of operational malfunctions and provide resolutions.

  • Provide exceptional customer service to internal and external customers.

  • Address business partner issues promptly and accurately.

  • Manage own job calendars and flows to ensure timely completion with moderate supervision/guidance.

  • Handle escalated issues independently and follow-up on outstanding issues promptly.

  • Maintain daily logs of operational issues and maintenance activities.

  • Contribute to business meetings and report on issue status.

  • Collaborate with the IBO support team on ad hoc requests and projects.

  • Evaluate current operational processes and recommend improvements.

  • Other duties as assigned.

Bring Your Best! What this role needs:

  • Associate degree with an emphasis in business related field or two to four years related experience; or equivalent combination of education and experience.

  • Minimum five years customer service experience, preferably in the insurance or investment industry.

  • Sound decision making; ability to use a mixture of analysis, wisdom, experience, and judgment to arrive at a conclusion or recommendation.

  • Comfortable taking the initiative and suggesting new ideas, processes, improvements etc.

  • Highly detailed and data-oriented with proven critical thinking, organizational and analytical skills.

  • Ability to prioritize workload and seek support when appropriate, as well as work within a larger team

  • Excellent communication skills; must be able to connect with internal and external parties in a professional, comprehensive, and gracious manner

  • Strong computer, time management and organizational skills are essential

  • Thorough knowledge of Microsoft Office with strong emphasis on Excel proficiency

  • Consistently good attendance and job performance.


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!



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.


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.