The Compliance Senior Specialist role applies intermediate knowledge of regulatory requirements, internal policies, and risk management practices to independently execute compliance activities and support risk mitigation efforts. This role bridges execution and consulting responsibilities by handling more complex work, exercising judgment within defined frameworks, and partnering with stakeholders to address compliance risks.
The role contributes to monitoring, analysis, issue resolution, and process improvement while beginning to provide guidance to business partners and less experienced team members.
What You'll Do:
- Independently perform compliance reviews to evaluate adherence to regulatory requirements, internal policies, and procedures
- Document findings, observations, and risk assessments with clear, well-supported analysis
- Support identification, tracking, and resolution of compliance issues, including coordination with business partners on remediation efforts
- Evaluate risk severity and escalate complex, sensitive, or ambiguous issues as needed
- Provide guidance to business partners on routine to moderately complex compliance requirements, policies, and processes
- Respond to compliance-related questions and help interpret policy and regulatory expectations in practical terms
- Build effective working relationships with cross-functional stakeholders to facilitate issue resolution and alignment
- Identify opportunities to develop or improve compliance policies, procedures, processes, controls, and documentation
- Participate in or lead components of process improvement initiatives and projects
What You'll Bring To The Role
- Bachelor's degree in business, finance, law, risk management, or a related field preferred, or an equivalent combination of education and experience.
- FINRA Series SIE, Series 7, and Series 24 required.
- Minimum of 3 to 5 years of relevant experience. Experience in the financial services, Insurance, or Investment industry preferred
- Demonstrated ability to independently manage workload and prioritize competing responsibilities
- Strong analytical and problem-solving skills with the ability to assess risk and apply sound judgment
- Effective communication skills, with the ability to clearly translate compliance requirements into practical guidance
- Knowledge of insurance and investment products and operations.
- Ability to solve complex problems; take a new perspective on an existing solution; exercise judgement based on the analysis of multiple sources of information.
#LI-Onsite, #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:
$70,320.00
Pay Range - End:
$105,480.00
Geographic Specific Pay Structure:
Structure 110:
$77,360.00 USD - $116,040.00 USD
Structure 115:
$80,880.00 USD - $121,320.00 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 in business, finance, law, risk management, or a related field, or equivalent education and experience
- FINRA Series SIE license
- FINRA Series 7 license
- FINRA Series 24 license
- 3 to 5 years of relevant experience
- Experience in financial services, insurance, or investment industries
- Ability to independently manage workload and prioritize competing responsibilities
- Strong analytical and problem-solving skills
- Ability to assess risk and apply sound judgment
- Effective communication skills and ability to translate compliance requirements into practical guidance
- Knowledge of insurance and investment products and operations
- Ability to solve complex problems and exercise judgment using multiple information sources
- Fingerprinting as a registered representative under NMIS guidelines
What the Team is Saying
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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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.
