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

About The Job

As a member of the compliance team, you will build foundational knowledge of the regulatory environment, internal policies, and risk management practices that support the business. Working with more experienced team members, you will assist with compliance reviews, monitoring activities, issue tracking, reporting, and process improvements. This role also supports divisional projects while helping promote a strong culture of compliance.

What You'll Do

Assist with compliance reviews, monitoring activities, and routine testing to help evaluate adherence to internal policies, procedures, and applicable regulatory requirements.

Support the documentation of observations, findings, and follow-up actions by preparing summaries, reports, and tracking materials.

Review records, data, and supporting materials for accuracy, completeness, and consistency with established requirements.

Respond to routine compliance-related questions and provide day-to-day support through shared team channels, including phone queues and email mailboxes.

Assist with issue tracking, remediation follow-up, and coordination with business partners to support timely resolution of compliance matters.

Contribute to projects by gathering information, maintaining documentation, and supporting process improvements.

What You'll Bring

Bachelor's degree is preferred, or an equivalent combination of education and relevant experience.

Ability to prioritize work, manage multiple tasks, and seek guidance when appropriate while working effectively within a team environment.

Demonstrated ability to build effective working relationships with team members and business partners.

Strong analytical and problem-solving skills, with the ability to review information, identify issues, and apply sound judgment.

FINRA SIE, Series 7 & 24 can be obtained within department specifications (preferred).

Skills You'll Have

Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.

Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations.

Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.

Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.

Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.

Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps.

Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders.

Understanding the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.

Hybrid Work Information

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

Compensation

Pay Range - Start: $60,880.00 Pay Range - End: $91,320.00

Geographic Specific Pay Structure: Structure 110: $66,960.00 USD - $100,440.00 USD Structure 115: $70,000.00 USD - $105,000.00 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.

Company Culture

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do.

Equal Opportunity Statements

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.

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.

Company Overview

At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, it’s just a few of the reasons why people choose to build careers at Northwestern Mutual.

What started in Milwaukee, WI has grown into 7,000+ home office professionals split across 3 campuses: New York City, Franklin and downtown Milwaukee (HQ) - each one bringing with it its own unique talent and culture.

In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual as we are growing our digital and tech capabilities and are always on the lookout for bright, tech-savvy candidates.