Incumbent conducts audits and project work of low to moderate complexity within Retail Investments audit practice. Supports multiple audits/projects concurrently. Executes audits related to a variety of business activities, processes and operations, performs a broad and comprehensive analysis to identify business risks, and develops audit programs to evaluate internal controls related to financial risks, operational activities, and compliance requirements. Presents audit and project recommendations, discusses their implications and builds consensus with management. Provides business and audit related technical expertise and consulting support to business clients regarding internal controls in core area.
Primary Duties & Responsibilities:
- Primarily conducts audits and project work within Retail Investments practice focusing on investment advisor, broker-dealer, trust bank, and related compliance/supervision activities.
- Acts as team member on assigned audits, working under the direction of a lead auditor.
- Assesses the efficiency and effectiveness of management's controls to manage risk.
- Communicates effectively with business to identify control improvements and advise management in crafting effective controls or changes to business processes.
- Utilizes data analytics (ACL, Excel, Power BI, etc.) to perform audit testing and to evaluate, validate, and profile data.
- Prepares clear, logical workpapers and drafts language for control improvements identified.
- Utilizes time optimally to support multiple audits or projects concurrently.
- Demonstrates or develops an appropriate level of organizational, regulatory, and business knowledge.
- Establishes and maintains strong, collaborative relationships within the department and with our business contacts.
- Contributes to continuous improvement efforts in the department.
Knowledge, Skills, & Abilities:
- Undergraduate degree (accounting, economics, business, or other relevant)
- Three or more years experience in audit, investment, data analysis, or related business operations.
- Demonstrated analytical and problem solving skills.
- Basic skills in data analysis to identify data analytic opportunities and to acquire, load, validate, and analyze data.
- Demonstrated interpersonal, oral and written communication skills.
- Familiarity with project/time management and working in a team environment.
- Proven ability to take care of ambiguity and respond to changing business needs.
- Ability to build rapport and understand internal businesses clients.
- Knowledge of industry and regulatory practices within the insurance area preferred.
- CPA, CIA, CIDA, CFE preferred or willingness to acquire.
#LI-Hybrid
Compensation Range:
Pay Range - Start:
$56,140.00
Pay Range - End:
$104,260.00
Geographic Specific Pay Structure:
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, click here to learn more.
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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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We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.
- Flexible work schedules
- Concierge service
- Comprehensive benefits
- Employee resource groups
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Northwestern Mutual Compensation & Benefits Highlights
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Retirement Support — Corporate materials describe automatic 401(k) company contributions alongside a separate, company‑funded cash balance pension with a guaranteed interest credit. This dual‑plan design is highlighted as a standout element for corporate roles.
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Leave & Time Off Breadth — PTO is outlined as starting in the low‑20s of days per year and increasing with tenure, with paid parental and caregiving leave and volunteer time included. This structure signals generous time‑off support for different life stages.
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Healthcare Strength — Medical, dental, and vision coverage is paired with Lyra mental health services, fertility and family‑building support, and company‑paid disability and life insurance. On‑site health centers, virtual primary care, and fitness centers or reimbursements enhance everyday access and wellbeing.
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What We Do
You’ll Like It Here At Northwestern Mutual, we believe that our lives and our work matter. And that doing what’s right is good for everyone. We follow through by designing tech that improves the community and cultivating creative ways to make finance accessible anywhere. These guiding principles have allowed our company to grow for more than 160 years. Here, you’ll be with a team who emphasizes integrity and prioritizes security to design experiences that better everyone. You’ll work in cross functional teams to create optimal solutions that are rooted in innovative strategy and thoughtful execution. And you’re provided development tools and opportunities to become a leader all with the support of a collaborative team. You’ll be surrounded in a culture that values innovation and works to always evolve to stay ahead of trends and client needs. We are intentional in seeking out team members who will challenge us. Our employees choose us for the career opportunities, commitment to philanthropy and desire to have a meaningful impact in the lives of our clients. You have career passions and goals. We have ambition and opportunity for you to grow your future in tech. Discover today: https://careers.northwesternmutual.com/
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We invest in our people. We know careers are about choices, so we provide intentional opportunity. Here you can build creative ways to make finance accessible anywhere and revolutionize traditional processes. As a mutual company, our focus is our people — whether professional development or investments in the community.
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Employees engage in a combination of remote and on-site work.
We offer a flexible, hybrid approach for our employees . Teams are in the office a few days a week and work from home the others.
