Wealth Oversight and Controls Senior Specialist

At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons why people choose to build careers at Northwestern Mutual.
We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative and growing.
We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.
We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.
What you will do:
The Oversight and Controls Senior Specialist is responsible for assisting (under limited supervision) with operational controls and oversight to manage risk associated with the offering of fiduciary (advisory) programs and services as well as broker-dealer products and services. This role supports Wealth policy and procedure efforts, audit finding management, record retention efforts, and other projects as needed.
How you will do it:

• With limited direction, assists with small to moderate operational controls and oversight for investment products, programs and services in order to mitigate risk.
• Under limited supervision, designs and implements new or existing policies and procedures.
• Interprets customer (internal and external) needs and can explain and translate product or program features and functions into operational controls and processes to mitigate risks and ensure compliance.
• Proactively identifies small to moderate process improvements and implements sound solutions that ensure strong oversight controls and maintain efficiency.
• Ensures the department meets the Enterprise's books and records requirements and that they're accurately documented within policies and procedures or ensures the escalation of non-compliance or concerns to the supervisor.
• Manages the appropriateness and timeliness of proposed resolutions for Wealth internal audit findings.
• Assists with metrics reporting, regulatory inquiries and examination requests under direct supervision.
• Participates in cross-functional projects and committees.

Bring Your Best! What this role needs:

• Bachelor's degree or equivalent in business, finance, economics or related field equivalent combination of work experience will be considered.
• FINRA SIE, Series 7, and Series 24 required
• Minimum of 3 years of experience in financial services with an emphasis in controls or investment products or regulatory
• Strong attention to detail
• Strong verbal and written communication skills
• Strong organizational and follow-through skills, with ability to work within deadlines, prioritize work and multitask.
• Demonstrated ability to positively influence and work collaboratively with all levels of employees
• Demonstrated interpersonal skills
• Self-motivated and self-directed with the ability to manage multiple assignments with minimal direction
• Understanding of broker/dealer and investment advisory operations, supervisory and compliance concepts, and related regulation
• Strong ability and willingness to learn new business concepts and procedures and develop risk and controls expertise
• Critical thinking and analytical skills, with the ability to research and resolve problems and issues consistent with regulatory requirements.
• This is a Hybrid role

#LI-Hybrid
Compensation Range:
Pay Range - Start:
$60,340.00
Pay Range - End:
$112,060.00
Geographic Specific Pay Structure:
Structure 110:
$66,360.00 USD - $123,240.00 USD
Structure 115:
$69,370.00 USD - $128,830.00 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 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.
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