Compliance Oversight & Engagement Specialist

Northwestern Mutual; Milwaukee (WI); Hybrid; USD 61,000 - 91,000; Full time

Job summary

Northwestern Mutual seeks a compliance teammate to build foundational regulatory knowledge and support the business through reviews, monitoring, and issue tracking. You will help promote a strong culture of compliance and assist with documentation, reporting, and process improvements in collaboration with experienced colleagues.

We value a Bachelor's degree or equivalent, strong analytical and collaborative skills, and the ability to manage multiple tasks.

Qualifications

• Bachelor's degree preferred or equivalent combination of education and experience.
• Ability to prioritize work, manage multiple tasks, and seek guidance when needed.
• Strong analytical and problem-solving skills with sound judgment.
• FINRA SIE, Series 7 & 24 can be obtained within department specifications (preferred).

Responsibilities

• Assist with compliance reviews, monitoring activities, and routine testing to evaluate adherence to internal policies and regulatory requirements.
• Document observations, findings, and follow-up actions by preparing summaries, reports, and tracking materials.
• Review records, data, and supporting materials for accuracy and consistency with established requirements.
• Respond to routine compliance questions and provide day-to-day support via phone queues and email.
• Assist with issue tracking, remediation follow-up, and coordination with business partners for timely resolutions.
• Contribute to projects by gathering information, maintaining documentation, and supporting process improvements.

Skills

Analytical skills

Problem solving

Communication

Team collaboration

Education

Bachelor's degree or equivalent

Job description

Northwestern Mutual seeks a compliance teammate to build foundational regulatory knowledge and support the business through reviews, monitoring, and issue tracking. You will help promote a strong culture of compliance and assist with documentation, reporting, and process improvements in collaboration with experienced colleagues.

We value a Bachelor's degree or equivalent, strong analytical and collaborative skills, and the ability to manage multiple tasks.