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Vendor Compliance - Wealth & Investment Management

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:

The Oversight and Controls Consultant is responsible for assisting with ownership of operational controls and oversight to lead risk associated with the offering of investment programs and services as well as broker-dealer products and services. This role supports the third-party vendor risk management program for the broker/dealer and enterprise regulatory change efforts including coordinating and driving technical, operational, compensation, controls, disclosures and regulatory requirements. This role interprets (internal and external) needs and is the go to FINRA third-party vendor authority that can explain and translate product or program features and functions into operational controls and processes to mitigate risks and ensure compliance.

How you will do it?

  • Translate departmental risk and controls strategy into third-party vendor risk management operating model by crafting details and requirements to protect clients and advisors in a scalable manner to protect the company.
  • Provide expertise and support to internal teams and advisors for oversight and controls programs for FINRA third-party vendor risk management program and enterprise regulatory program office with policies, procedures, controls and oversight.
  • Work with technology development teams to identify and build decision points and decision-making paths for risk, oversight and controls for vendor risk management program and enterprise regulatory change efforts.
  • Applies knowledge of best practices for regulatory compliance and operational controls in order to ensure adherence to business conduct policies/procedures for field and client practices.

Bring Your Best! What the role needs:

  • Bachelor’s degree or equivalent in business, finance, economics or related equivalent combination of work experience.
  • 5 plus years of experience in financial services with an emphasis in regulatory, investment products or operations
  • Requires FINRA SIE, Series 7 and Series 24.
  • Strong attention to detail and ability to develop risk and controls expertise, demonstrated ability to drive change within cross-departmental initiatives.
  • Strong interpersonal and follow-through skills, with ability to work within deadlines, prioritize work and multitask.
  • Validated leadership skills including relationship building, negotiating, delegation, planning and organization
  • Outstanding verbal and written communication skills
  • Critical thinking and analytical skills, with the ability to research and resolve problems and issues consistent with regulatory requirements.



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

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 Colorado 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.