AD - Annuity Supervision

Summary

In collaboration with and under the direction of the Chief Compliance Officer (CCO) of NMIS and NMWMC and divisional leadership, this role is responsible for providing advanced support, building relationships and consulting across the enterprise on a wide variety of topics to advance the company's compliance culture while ensuring business objectives are achieved.

Primary Duties and Responsibilities

• Execute the strategy for SCS team engagement across the enterprise with the objective of advancing the company's culture of compliance while achieving business targets.

• Understand applicable rules and regulations to independently identify, assess and consult to the mitigation of risk with enterprise business partners across a wide range of compliance topics.

• Resolve complex or unusual compliance risk issues in partnership with business partners and communicates across enterprise stakeholders to ensure alignment.

• Identify and assess compliance implications to business area(s) from new and/or updates to rules and regulations.

• Serve as a SME on areas of specialized technical expertise for partners within Enterprise Compliance.

• May have ownership of programs on behalf of the enterprise and ensure work associated with such programs is executed (e.g. NMIS Home Office Supervision, Electronic Communications, Books and Records, Enterprise Conflicts of Interest).

• Participate in projects or efforts in support of the division or department priorities/objectives as needed.

Qualifications

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.

• FINRA series 7 and 24 required within 6 months of hire.

• Minimum of 6 years of relevant experience. Experience in financial services preferred.

• Experience in securities/insurance operations, information technology, law, regulatory, audit, or testing preferred.

• Strong organizational leadership presence and proven ability to cultivate relationships and influence individuals at all levels of the organization.

• Understanding of the financial services / insurance / securities industry.

• Ability to cultivate relationships at all levels of the organization.

• Broad knowledge of Northwestern Mutual compliance systems and business model inclusive of the home office and field.

• Ability to direct the resolution of complex business problems by applying advanced critical thinking.

• Ability to communicate complex ideas, and assist in anticipating potential oppositions.

#LI-Hybrid

Compensation Range:

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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.

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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.

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