At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
What you will do:
You'll be working as a subject matter expert (SME) for eCommunications and Social Media monitoring and surveillance systems. Utilizing data resources, product and compliance program knowledge, the SME is responsible for daily, monthly, quarterly monitoring to ensure the systems are performing as expected including providing regular updates to key stakeholders including the Chief Compliance Officers and department leadership. The role is responsible for participating on projects, including leading aspects of projects, and working with external vendors to enhance and update the systems due to changing regulatory, business and product needs not limited to forming business requirements, conducting testing and development of communication and procedural artifacts. The SME will provide front-line system support, training, and ad hoc reporting, including regulatory requests.
How you will do it:

• Work closely with the Compliance System Management team members to ensure the monitoring system is performing in accordance with regulatory requirements, as well as firm policies and procedures.
• Possess a high level of current knowledge of eCommunication and Social Media regulations
• Participate and lead projects of varying scope to assess, develop, coordinate, test and implement enhancements to new or current features.
• Working closely with product owners, business SMEs and end users, develop business requirements, conduct analysis, and communicate on system enhancements or updates.
• Provide value by leading advanced divisional and departmental projects required to improve the overall effectiveness of the system.
• Participate in the evaluation of circumstances related to individual representatives or network offices as requested.
• Develop and implement new processes designed to address changing business needs and regulatory requirements.
• Working with external vendor partners on service, support and projects, including upgrades and enhancements.
• Create, maintain, and update system documentation including technical and system user facing documents, supervisory manuals, reference and communication materials.
• Develop, update, and perform the system training for new divisional employees and new supervisor users, both within the home office and field.

Bring Your Best! What this role needs:

• Bachelor's Degree or related and/or equivalent combination of education and experience.
• FINRA registration within 1 year: Series 7, 24.
• Minimum of 6 years of relevant experience. Experience working at a financial firm preferred.
• Experience working with core product lines and compliance monitoring systems preferred.
• Experience in leading projects and processes.
• Ability to solve complex problems, take a new perspective on existing solutions and exercise judgment based on the analysis of multiple sources of information.
• Excellent written and oral communication skills.
• Ability to explain difficult or sensitive information while working to build consensus.
• Ability to generate and analyze baseline reports.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:
Series 24 - FINRA, Series 7 - FINRA
Compensation Range:
Pay Range - Start:
$73,570.00
Pay Range - End:
$105,100.00
Please note that this is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.
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.