Oversight & Engagement Specialist

Posted An Hour Ago
Be an Early Applicant
Milwaukee, WI, USA
Hybrid
61K-105K Annually
Entry level
Fintech • Insurance • Financial Services
Start-Up Vibes with The Stability of a Fortune 100 Company.
The Role
Supports compliance reviews, monitoring, testing, documentation, reporting, issue tracking, remediation follow-up, and process improvement. Reviews records for accuracy, responds to routine compliance questions, coordinates with business partners, and contributes to divisional projects. The role requires strong analytical, organizational, communication, judgment, and collaboration skills, with FINRA registration requirements including fingerprinting and Series 7 and 24 credentials.
Summary Generated by Built In
About The Job
As a member of the compliance team, you will build foundational knowledge of the regulatory environment, internal policies, and risk management practices that support the business. Working with more experienced team members, you will assist with compliance reviews, monitoring activities, issue tracking, reporting, and process improvements. This role also supports divisional projects while helping promote a strong culture of compliance.
What You'll Do:
  • Assist with compliance reviews, monitoring activities, and routine testing to help evaluate adherence to internal policies, procedures, and applicable regulatory requirements.
  • Support the documentation of observations, findings, and follow-up actions by preparing summaries, reports, and tracking materials.
  • Review records, data, and supporting materials for accuracy, completeness, and consistency with established requirements.
  • Respond to routine compliance-related questions and provide day-to-day support through shared team channels, including phone queues and email mailboxes.
  • Assist with issue tracking, remediation follow-up, and coordination with business partners to support timely resolution of compliance matters.
  • Contribute to projects by gathering information, maintaining documentation, and supporting process improvements

What You'll Bring:
  • Bachelor's degree is preferred, or an equivalent combination of education and relevant experience.
  • Ability to prioritize work, manage multiple tasks, and seek guidance when appropriate while working effectively within a team environment.
  • Demonstrated ability to build effective working relationships with team members and business partners.
  • Strong analytical and problem-solving skills, with the ability to review information, identify issues, and apply sound judgment.
  • FINRA SIE, Series 7 & 24 can be obtained within department specifications.(preferred)

Skills You'll Have:
  • Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.
  • Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
  • Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.
  • Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.
  • Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.

#LI-Hybrid
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA
Compensation Range:
Pay Range - Start:
$60,880.00
Pay Range - End:
$91,320.00
Geographic Specific Pay Structure:
Structure 110:
$66,960.00 USD - $100,440.00 USD
Structure 115:
$70,000.00 USD - $105,000.00 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, click here to learn more.
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 that welcomes talented individuals of all backgrounds. 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.
FIND YOUR FUTURE
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

Skills Required

  • Bachelor's degree or equivalent combination of education and relevant experience
  • Ability to prioritize work and manage multiple tasks effectively
  • Ability to build effective working relationships with team members and business partners
  • Strong analytical and problem-solving skills
  • Ability to review information, identify issues, and apply sound judgment
  • FINRA SIE, Series 7, and Series 24 credentials obtainable within department specifications
  • Fingerprinting required for Registered Representative classification under NMIS guidelines

What the Team is Saying

Chris
Chester

Northwestern Mutual Compensation & Benefits Highlights

  • Retirement Support — Retirement benefits are highlighted by both a 401(k) and a cash-balance pension plan, a notable combination compared with employers that offer only a 401(k). Feedback suggests this is a standout element of the corporate package.
  • Healthcare Strength — Health coverage includes medical, dental, vision, mental-health support via Lyra, and fitness resources, with mentions of multiple plan options and reasonable costs for some. Feedback suggests these offerings are broadly viewed as solid even as individual experiences vary.
  • Parental & Family Support — Family benefits span paid parental leave (noted as about 12 weeks), caregiver leave, and fertility, adoption, and surrogacy assistance. Feedback suggests these programs contribute meaningfully to the breadth of the benefits package.

Northwestern Mutual Insights

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The Company
HQ: Milwaukee, WI
8,400 Employees
Year Founded: 1857

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/

Why Work With Us

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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Northwestern Mutual Teams

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About our Teams

Northwestern Mutual Offices

Hybrid Workspace

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.

Typical time on-site: Flexible
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HQMilwaukee, WI
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New York, NY
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