Enterprise Compliance Differentiated Solutions Senior Specialist

Northwestern Mutual Investment Services, LLC; Milwaukee (WI); On-site; USD 70,000 - 105,000; Full time

Job summary

Northwestern Mutual Investment Services, LLC is seeking an Enterprise Compliance Differentiated Solutions Senior Specialist to execute and support compliance activities across field practices, coordinating with Enterprise Compliance, supervision, and partners to promote consistent execution. The role emphasizes research, cross-functional collaboration, and disciplined process support.

In this role you will gather information, support training, manage workflow, and contribute to cross-network

Qualifications

• 3+ years of experience in financial services compliance, supervision, risk management, operations, or a related field.
• Working knowledge of compliance regulations, supervision practices, and risk management processes.
• Understanding of field structure, business operations, and stakeholder roles.
• Strong analytical and problem-solving skills, with the ability to research issues, evaluate information, and recommend practical next steps.
• Strong written and verbal communication skills and the ability to build effective working relationships across functions.
• Ability to execute compliance activities aligned with broader business objectives and established risk parameters.
• Experience supporting training, guidance, process documentation, or operational workflows preferred.
• Ability to manage multiple priorities, meet deadlines, and work effectively in a fast-paced, collaborative environment.
• FINRA Series 7 and Series 24 are required.

Responsibilities

• Provide research, coordination, and operational support for complex compliance and supervision matters, escalating issues as appropriate and helping drive timely resolution.
• Gather, organize, validate, and communicate information needed to support a consistent cross-network office experience, including workflow activities related to cross-territory challenges.
• Execute established compliance processes and contribute observations and recommendations that may improve business alignment, client focus, team effectiveness, and operational outcomes.
• Coordinate communication among compliance teams, business partners, and field stakeholders to support alignment on compliance priorities, responsibilities, and risk considerations.
• Assist with the development, maintenance, and delivery of targeted training, job aids, and guidance in response to data trends, industry changes, and evolving risks.
• Perform and coordinate assigned activities for core compliance initiatives, including annual training and attestation monitoring, contracting workflows, staff compensation processes, and transaction reviews.

Skills

Relationship building

Judgment

Requirements translation

Attention to detail

Cross-functional collaboration

Continuous improvement

Job description

About the Job:

The Enterprise Compliance Differentiated Solutions Senior Specialist is an individual responsible for executing and supporting compliance activities and practical business solutions for complex field practices. The role works with Enterprise Compliance, supervision, business partners, and field stakeholders to research issues, coordinate information, support established solutions, and promote consistent execution. The position contributes to cross-functional initiatives through reliable follow-through, clear communication, and disciplined process support.

What You'll Do:

• Provide research, coordination, and operational support for complex compliance and supervision matters, escalating issues as appropriate and helping drive timely resolution.
• Gather, organize, validate, and communicate information needed to support a consistent cross-network office experience, including workflow activities related to cross-territory challenges.
• Execute established compliance processes and contribute observations and recommendations that may improve business alignment, client focus, team effectiveness, and operational outcomes.
• Coordinate communication among compliance teams, business partners, and field stakeholders to support alignment on compliance priorities, responsibilities, and risk considerations.
• Assist with the development, maintenance, and delivery of targeted training, job aids, and guidance in response to data trends, industry changes, and evolving risks.
• Perform and coordinate assigned activities for core compliance initiatives, including annual training and attestation monitoring, contracting workflows, staff compensation processes, and transaction reviews.
• Identify process gaps, document requirements, and support implementation of policy, process, and operational improvements in partnership with field and business stakeholders.
• Maintain accurate documentation, track assigned work, and provide timely status updates to support transparency, consistency, and effective risk management.

What You'll Bring:

• 3+ years of experience in financial services compliance, supervision, risk management, operations, or a related field.
• Working knowledge of compliance regulations, supervision practices, and risk management processes.
• Understanding of field structure, business operations, and stakeholder roles.
• Strong analytical and problem-solving skills, with the ability to research issues, evaluate information, and recommend practical next steps.
• Strong written and verbal communication skills and the ability to build effective working relationships across functions.
• Ability to execute compliance activities aligned with broader business objectives and established risk parameters.
• Experience supporting training, guidance, process documentation, or operational workflows preferred.
• Ability to manage multiple priorities, meet deadlines, and work effectively in a fast-paced, collaborative environment.
• FINRA Series 7 and Series 24 are required.

Skills You'll Have:

• Builds effective working relationships with business partners and compliance stakeholders.
• Applies sound judgment and escalates complex or ambiguous compliance matters appropriately.
• Translates business needs into clear compliance requirements, process steps, and practical support.
• Executes work with attention to detail, accuracy, accountability, and consistent follow-through.
• Contributes effectively to cross-functional initiatives and process improvements.
• Demonstrates commitment to continuous improvement, collaboration, and service excellence.

#LI-Hybrid

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

Compensation Range:

Pay Range - Start:

$70,320.00

Pay Range - End:

$105,480.00

Geographic Specific Pay Structure:

Structure 110:

$77,360.00 USD - $116,040.00 USD

Structure 115:

$80,880.00 USD - $121,320.00 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.

Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. 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.

Skills

Policy & Procedure Management (NM), Collaborative Partnership & Planning (NM), Decision Making (NM), Continuous Improvement (NM), Attention to Detail (NM), Risk Assessment (NM), Project Management (NM)