Compliance & Surveillance Specialist

Northwestern Mutual; Milwaukee (WI); On-site; USD 60,880 - 91,320; Full time

Benefits offered by this job

Flexible work schedules

Concierge service

Comprehensive benefits

Employee resource groups

Job summary

Northwestern Mutual in Milwaukee, WI, seeks a detail-oriented supervisor to oversee securities and insurance activities within a compliant, collaborative framework. The role partners with field representatives to grow business the right way.

You will review and approve correspondence, perform transaction supervision, and support system enhancements while ensuring adherence to regulations and NMIS policies. A degree and FINRA licenses or plans to obtain them within six months are expected.

Qualifications

• Bachelor's degree in business, finance or related field or equivalent work experience.
• 2 years of professional experience in insurance or financial services.
• 2 years of experience in core product lines (life, DI, LTC), mutual funds or general securities.
• FINRA SIE, Series 7 and 24 licenses must be acquired within 6 months.
• Strong analytical and written/oral communication skills.
• Knowledge of NMIS policy and procedures and regulations.

Responsibilities

• Supervise investment and insurance business in a collaborative team to ensure compliance.
• Review and approve securities correspondence and client communications.
• Perform supervisory review using compliance monitoring systems.
• Collaborate with field offices and supervisory teams to ensure regulatory compliance.
• Provide advisory input to improve workflows, training, and documentation.
• Support system enhancements and participate in basic divisional projects.

Skills

Analytical skills

Written & verbal communication

Regulatory compliance knowledge

Ability to work with all levels of mgm

Education

Bachelor's degree in business/finance or related field

Job description

Northwestern Mutual in Milwaukee, WI, seeks a detail-oriented supervisor to oversee securities and insurance activities within a compliant, collaborative framework. The role partners with field representatives to grow business the right way.

You will review and approve correspondence, perform transaction supervision, and support system enhancements while ensuring adherence to regulations and NMIS policies. A degree and FINRA licenses or plans to obtain them within six months are expected.