Sr. Compliance Testing Specialist

Enterprise Testing Role

The Enterprise Testing team is responsible for conducting thorough reviews and forensic analyses of the company's policies and procedures, and controls to ensure they meet regulatory requirements and appropriately mitigate risk.

This role will support the Assistant Director who has the primary responsibility for implementing testing plans and assignments for Northwestern Mutual or one of its regulated entities (e.g. NMIS, WMC, MSA, NMIMC, Life Company or variable product separate accounts).

What You'll Do :

Provide support in implementing compliance testing plans for Northwestern Mutual Life or its regulated entities (e.g. NMIS, WMC, MSA, NMIMC, Life Company, variable product separate accounts). Assignments include working independently, with oversight from the Assistant Director, on complex test plans and taking a lead role on moderately complex test plans.

• Support in developing an annual entity test plan including test steps and an implementation plan.
• Test procedures, processes and controls as directed by the Assistant Director and work with the entity CCO, compliance staff and business staff to complete assignments.
• Communicate testing results to the CCO and business directors or managers.
• Coordinate assigned testing with operations departments and internal audit.
• Participate in projects and perform tasks in support of the Enterprise Compliance department objectives. May take a leadership role within a particular assignment.
• Stay updated on industry trends, regulatory changes, and best practices in policy management and forensic analysis.

What You'll Bring to the Role :

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form. Non-Registered Fingerprinted - FINRA

Compensation Range :

Pay Range - Start : $56,140.00

Pay Range - End : $104,260.00

Geographic Specific Pay Structure : 175 - Structure 110 (Exempt) : 61,740.00 USD - 114,660.00 USD

175 - Structure 115 (Exempt) : 64,540.00 USD - 119,860.00 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.