Skip to content

Standards & Governance Senior Specialist

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:

Provide technical guidance to the field and Home Office management to ensure that financial representatives meet Company standards both in acquiring and maintaining NM contracts, registrations, and licenses. Coordinate research and analysis to resolve cases involving Enterprise Risk Assurance, the Law department, and Career Distribution leadership.

Primary Duties & Responsibilities:

  • Manage, monitor, and proactively adjusting workflow to ensure and support efficient and timely processes. Responsible for making updates to appropriate team policies and procedures.
  • Develop and implement an audit procedure for the division which includes defining the audit standards and parameters and conducting regular audits to ensure aspects of CLR onboarding are completed both accurately and timely. ​
  • Coordinate the handling of difficult and sensitive cases/transactions related to regulatory requirements, policies, procedures, complaints, and errors requiring a high degree of technical knowledge, sensitivity, critical thinking and judgment. ​
  • Evaluate and grant exceptions to established practices, procedures when appropriate.
  • Support the day-to-day operations of the division by ensuring the timely and effective underwriting of prospective new agents in support of NM's field force.
  • Provide technical consultation and training to the field and divisional staff. Leads project teams to enhance service and ensure full compliance with company, state, and regulatory standards.
  • Provide guidance to home office and field clients in understanding and addressing risks, ensuring policies, procedures and controls are in place to manage risks.

Knowledge, Skills, & Abilities:

  • Bachelor's degree or an equivalent combination of education and progressively responsible work experience.
  • FINRA Series 6 and 26 required
  • FINRA 7 and 24 preferred
  • Minimum of 5 years relevant experience, preferably in Legal & Regulatory work
  • Demonstrated mentoring/coaching skills and the ability to develop and train team members.
  • Demonstrated experience in leading process improvement, system enhancements and/or committee efforts through development and implementation.
  • Demonstrated high level of organization and follow through with the ability to effectively identify and independently establish priorities and meet deadlines on multiple assignments with high quality results.
  • Excellent written and verbal communication skills with the ability to positively influence, work cooperatively, and negotiate with all levels in the department, the company, and the field to obtain maximum operational efficiency. ​
  • Strong commitment to confidentiality guidelines.


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 a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 26 - FINRA, Series 6 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:


Pay Range - End:


Please note that this 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.

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 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.