Retail Compliance Consultant

internal teams and advisors for risk management and oversight and controls programs

• Works with technology development teams to identify and create decision points and decision making paths for risk, oversight and controls.

• Utilizes knowledge of best practices for regulatory compliance and operational controls in order to ensure adherence to business conduct policies/procedures for Field and client practices

Qualifications

• Bachelor's degree or equivalent in business, finance, economics or related field Equivalent combination of work experience at Northwestern Mutual will be considered.

• 5 plus years of experience in financial services with an emphasis in operations or investment products or regulatory

• Demonstrated ability to drive change within cross-departmental initiatives

• Strong attention to detail and ability to develop risk and controls expertise

• Ability to leverage industry resources

• Strong organizational and follow-through skills, with ability to work within deadlines, prioritize work and multitask.

• Proven leadership skills including relationship building, negotiating, delegation, planning and organization

• Superior verbal and written communication skills

• Critical thinking and analytical skills, with the ability to research and resolve problems and issues consistent with regulatory requirements.

• NMIS Requirements: FINRA SIE, FINRA Series 7, FINRA Series 24

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:

$76,650.00

Pay Range - End:

$142,350.00

Geographic Specific Pay Structure:

195 - Structure 110: 84,350.00 USD - 156,650.00 USD

195 - Structure 115: 88,130.00 USD - 163,670.00 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.