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Compliance Testing Sr. Specialist

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

Perform complex compliance testing assignments under the direction of Chief Compliance Officers and their delegates, with primary responsibility for implementing testing plans and assignments for Northwestern Mutual or one of its regulated entities (e.g. NMIS, WMC, MSA or variable product separate accounts).

Primary duties & responsibilities:

  • Support consultant level staff in implementing compliance testing plans for Northwestern Mutual Life or its regulated entities (e.g. NMIS, WMC, MSA, variable product separate accounts). Assignments include working independently, with oversight from the consultant, on complex test plans and taking a lead role on moderately complex test plans.
  • Support consultant level staff in developing an annual entity test plan including test steps and an implementation plan.
  • Test procedures, processes and controls as advised by the testing consultant and work with the entity CCO, compliance staff and business staff to complete assignments.
  • Communicate testing results to the CCO and business directors or managers.
  • Coordinate assigned testing with operations departments and internal audit.
  • Participate in projects and perform tasks in support of the Compliance Assurance division and Enterprise Compliance department objectives. May take a leadership role within a particular assignment.

Knowledge, skills, & abilities:

  • Bachelor's degree or equivalent work experience.
  • 4years of professional level work experience in the insurance or financial services industries with a track record of growing responsibility
  • Series 7 and 24 licenses are required or must be acquired within six months.
  • Knowledge of or experience with technical compliance requirements or financial service products, such as life insurance, annuities, mutual funds or general securities.
  • Effective written, verbal, and problem-solving skills. Demonstrated experience influencing across functions.
  • Effective analytical skills and the ability to coordinate and manage assigned work with minimal direction.
  • Experience working with large data sets and using advanced excel features to identify transaction attributes, patterns, and trends.
  • Auditing experience an added bonus

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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.


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