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Compliance Systems Senior Specialist

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

Summary:

Within Enterprise Compliance, this individual works within a team structure to support the monitoring system subject matter expert (SME). Taking direction from the SME, this individual will advance basic system features through their life cycle to implementation. The individual performs routine assignments to ensure the monitoring system is performing as expected. The individual will also perform a series of baseline analysis pertaining to system health and regulatory risks.  

Primary duties & responsibilities:

  • For the assigned monitoring and surveillance systems, engage in assigned project work to provide support to the subject matter expert of the respective system(s); participate in the discussions related to the creation, testing and implementation of system enhancements; provide value by assisting in the completion of miscellaneous intermediate/advanced projects required to improve the overall effectiveness of the system.
  • Update system documentation, as well as compliance and supervisory manuals. Additionally, keep supervisory guidance reference materials current
  • Perform various administrative tasks to support divisional monitoring systems
  • Create and/or monitor reporting and dashboards to measure system effectiveness
  • Provide baseline analysis to SME regarding areas of compliance risk
  • Work with all subsidiary Chief Compliance Officers as well as department management to ensure appropriate controls are in place to facilitate compliance with the regulations.
  • Participate as a resource on intermediate/advanced divisional project teams. As needed, independently lead a project team.

Knowledge, skills, & abilities:

  • Bachelor's Degree preferred or equivalent combination of education and experience.
  • Minimum of 2 years of relevant experience. Experience working at a financial firm preferred.
  • Experience working with core product lines and compliance monitoring systems preferred.
  • Ability to solve complex problems, take a new perspective on existing solutions and exercise judgement based on the analysis of multiple sources of information
  • FINRA registration within 6 months: Series 7, 24 or 9/10
  • Ability to work with all levels of management within the field and home office.
  • Excellent written and oral communication skills.
  • Ability to generate and analyze baseline reports

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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.

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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