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Compliance Systems Management Consultant

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:

Within the Compliance Systems Management division of Enterprise Compliance, this individual works within a team structure as a subject matter expert (SME) for the three transaction surveillance systems. The scope of the transaction surveillance systems spans across all of Northwestern Mutual’s product lines and the SME will be partnering with business SMEs across the department and organization.  Additional responsibilities include daily and monthly supervision of exceptions and violations of Code of Ethics.  Utilizing data resources, product and compliance program knowledge, the SME is responsible for daily, monthly, quarterly monitoring to ensure the systems are performing as expected including providing regular updates to key stakeholders including the Chief Compliance Officers and department leadership.  The role is responsible for participating on projects, including leading aspects of projects, and working with external vendors to enhance and update the systems due to changing regulatory, business and product needs not limited to forming business requirements, conducting testing and development of communication and procedural artifacts.  The SME will provide front-line system support, training, and ad hoc reporting, including regulatory requests. 

How you will do it:

  • Work closely with the Compliance System Management team members to ensure the monitoring system is performing in accordance with regulatory requirements, as well as firm policies and procedures.
  • Possess a high level of current knowledge of trade surveillance supervision, compliance programs and all product lines (General Securities, Variable Insurance Products, Insurance) to provide optimization and enhancement recommendations and solutions.
  • Supervision of personal trading activity and exceptions including communicating with field and home office registered representatives.
  • Participate and lead projects of varying scope to assess, develop, coordinate, test and implement enhancements to new or current features.
  • Working closely with product owners, business SMEs and end users, develop business requirements, conduct analysis, and communicate on system enhancements or updates.
  • Provide value by leading advanced divisional and departmental projects required to improve the overall effectiveness of the system.
  • Participate in the evaluation of circumstances related to individual representatives or network offices as requested.
  • Develop and implement new processes designed to address changing business needs and regulatory requirements.
  • Working with external vendor partners on service, support and projects, including upgrades and enhancements.
  • Create, maintain, and update system documentation including technical and system user facing documents, supervisory manuals, reference and communication materials.
  • Develop, update, and perform the system training for new divisional employees and new supervisor users, both within the home office and field.

Bring Your Best! What this role needs:

  • Bachelor's Degree in business, finance or related and/or equivalent combination of education and experience preferred.
  • FINRA registration within 6 months: Series 7, 24 or Series 9 and 10.
  • Minimum of 6 years of relevant experience. Experience working at a financial firm preferred.
  • Experience working with core product lines and compliance monitoring systems preferred.
  • Experience in leading projects and processes.
  • Ability to solve complex problems, take a new perspective on existing solutions and exercise judgment based on the analysis of multiple sources of information.
  • Excellent written and oral communication skills.
  • Ability to explain difficult or sensitive information while working to build consensus.
  • Ability to generate and analyze baseline reports.

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 a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 7 - 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.