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Market Conduct Manager

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


Responsible for supervising and leading a team of skilled professionals in the Market Conduct division who are responsible for the Enterprise Complaint program, handling of sales practice and investment service complaints, and conducting field sales practice investigations. This role will build relationships, manage projects, hire new team members, as well as continuously coach and develop staff. Will assist and support the development of overall strategy for division to ensure effectiveness and program development. This role will partner with department leaders, business owners, and key stakeholders to advance divisional, departmental, and enterprise objectives.

Primary Duties & Responsibilities:

  • Serves as consultative, managerial, and technical expert to staff in the Market Conduct division.
  • Assist in the development and execution of overall strategy to ensure division effectiveness
  • Demonstrate to partners and stakeholders the value proposition of Market Conduct.
  • Recruits, hires and onboards talent ensuring the right mix of talent within team. Creates an inclusive, engaging environment that encourages accountability, productivity, and development.
  • Builds effective teams by selecting talent, coaching, developing, and motivating divisional personnel.
  • Ensure team has the technical, business and procedural knowledge as well as the interpersonal skills to perform successfully in evolving compliance environments.
  • Builds and maintains relationships across department and with business partners to understand enterprise compliance support needs. Collaborates with business partners and leadership to identify business challenges and gaps that impact current and future performance and guides team to develop capabilities and processes to meet these needs.
  • Assist in developing department divisional plans, including business, production and/or organizational priorities in support of department business objectives.
  • Directs work distribution and assist in the creation and refinement of processes.


  • Bachelor's degree in business administration, finance, marketing, pre-law, etc. preferred.
  • FINRA series SIE, 7 & 24 required or can be obtained within 6 months.
  • Minimum of 6 years of relevant experience. Preferably 2 years of leadership experience formal or informal. Experience in the financial services/securities industry preferred.
  • Ability to lead, coach, and develop direct reports.
  • Ability to lead others to solve complex problems using sophisticated analytical thought to exercise judgment and identify innovative solutions.
  • Guided by policies and divisional plan, ability to impact the team's ability to achieve service, quality and timeliness of objectives.
  • Ability to explain information, convey performance expectations and handle sensitive issues.
  • Experience in leading change management initiatives and/or process improvements.


This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 7 - FINRA

Compensation Range:

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Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.

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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 California, Colorado, New York City, Washington 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.