Retail Compliance Consultant

Northwestern MutualMilwaukee, WI, US

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Investment Controls Specialist

Primary Duties & Responsibilities

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 create decision points and decision making paths for risk, oversight and controls.
Utilizes 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

Qualifications

Bachelor's degree or equivalent in business, finance, economics or related field 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

Demonstrated ability to drive 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 SIE, FINRA Series 7, FINRA Series 24

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

Compensation Range :

Pay Range - Start : $76,650.00

Pay Range - End : $142,350.00

Geographic Specific Pay Structure :

195 - Structure 110 : $84,350.00 - $156,650.00 USD

195 - Structure 115 : $88,130.00 - $163,670.00 USD

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable.

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now! Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

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Compliance Consultant • Milwaukee, WI, US