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Wealth Oversight & Controls Consultant - Alternative Investments

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:

This role is responsible for assisting with ownership of operational controls and oversights for investment products, programs and services in order to mitigate risk. This includes design and implementation of new or existing policies and procedures.

How you will do it:

  • Assists with ownership of operational controls and oversights for investment products, programs and services in order to mitigate risk. This includes design and implementation of new or existing policies and procedures.
  • Supports ongoing evolution of investment products, programs and services including coordinating and driving efforts with technical, operational, compensation, controls and regulatory requirements.
  • Interprets customer (internal and external) needs and is the go-to controls expert that can explain and translate product or program features and functions into operational controls to mitigate risks.
  • Translates wealth risk and controls strategy into product design details and requirements.
  • Builds platform expertise to identify and provide operational controls for efficient set-up.
  • Provides expertise and support to internal teams and advisors for risk management and oversight and controls programs.
  • Works with technology development teams to identify and build decision points and decision-making paths for risk, oversight and controls.
  • Applies knowledge of standard methodologies for regulatory compliance and operational controls to ensure adherence to business conduct policies/procedures for Field and client practices.

Bring Your Best! What this role needs:

  • Bachelor's degree or equivalent combination of work experience at Northwestern Mutual will be considered.
  • 5 plus years of experience in financial services with an emphasis in operations or investment products or regulatory
  • Proven ability to motivate change within cross-departmental initiatives.
  • Strong attention to detail and ability to develop risk and controls expertise.
  • Ability to leverage industry resources.
  • Strong organizational and follow-through skills, with ability to work within deadlines, prioritize work and multitask.
  • Proven leadership skills including relationship building, negotiating, delegation, planning and organization.
  • Superior verbal and written communication skills
  • Critical thinking and analytical skills, with the ability to research and resolve problems and issues consistent with regulatory requirements.
  • NMIS Requirements: FINRA Series 7 and passing the FINRA Series 24 within 6 months of hire.


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 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 California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.

Please note: Any wages or wage ranges listed directly on a specific job requ isition or posting will supersede corresponding wage ranges listed within Pay Transparency Guide linked above.​


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.