At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
What's the role?
Responsible for providing support, building relationships and partnering with business areas on a wide variety of topics driven by regulatory requirements to advance the company's compliance culture while ensuring business objectives are achieved. This role has oversight of the firm's "Books and Records" program, consulting with others to ensure complete and accurate recordkeeping/documentation required to operate in the securities industry.
Primary Duties & Responsibilities:
- Oversight of the firm's "Books and Records" program. Understands and keeps up-to-date with regulatory requirements regarding records that must be created and maintained to conduct business in the securities industry. Reviews industry trends to proactively anticipate potential regulatory data requests and ensure the firm is positioned to deliver upon demand.
- Consults across the company with the objective of advancing the enterprise culture of compliance while achieving business targets. This position will primarily support technology and partner with other risk areas.
- Assists in the execution of the company's technology assessment process which helps identify potential legal/regulatory/compliance/privacy risks with new or changing technology and works with the technology owner to mitigate.
- Identifies, assesses and consults to the mitigation of risk with enterprise business partners across a wide range of compliance topics with guidance of others.
- Assists in resolving complex or unusual compliance/risk issues in partnership with business partners and communicates across enterprise stakeholders to ensure alignment.
- Serves as a SME on areas of specialized technical expertise for partners within Enterprise Compliance.
- Participate in projects or efforts in support of the division or department priorities/objectives as needed.
Bring Your Best! What this role needs:
- Bachelor's Degree or equivalent combination of education and experience preferred.
- FINRA series 7& 24 required within 6 months of hire.
- Minimum of 4 years of relevant experience. Experience in financial services preferred.
- Experience in information technology, securities/insurance operations, law, regulatory, audit, or testing preferred.
- Strong consulting, communication, and negotiating skills
- Ability to cultivate relationships at all levels of the organization.
- Broad knowledge of Northwestern Mutual compliance systems and business model inclusive of the home office and field.
- Ability to identify and solve technical and operational problems while understanding the broader impact within the division.
- Ability to communicate difficult concepts with others to assist in adopting a different point of view.
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.
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.
Flexible work schedules
Employee resource groups