Regulatory Oversight & Compliance Analyst

Northwestern Mutual; Minneapolis (MN); Hybrid; USD 54,000 - 66,000; Full time

Job summary

Northwestern Mutual in Minneapolis is seeking a Supervision Specialist to support the Network Office's supervision strategy, risk management, and regulatory oversight. You will monitor activities of registered representatives, review reports, and help ensure adherence to laws and company policies.

The role emphasizes relationship building, attention to detail, and timely escalation of issues. Licensing milestones and ongoing training are expected as you develop toward a Field Supervisor track.

Qualifications

• SIE, Series 7 & 63 and resident state life license or ability to obtain within 180 days of hire.
• Series 9 & Series 10 within 270 days of hire.
• Ability to complete required internal trainings.

Responsibilities

• Assist Field Supervisors in ensuring that the operational, sales, and service activities of registered representatives and team members comply with all applicable laws, regulations, and company policies.
• Monitor the activities of supervised persons through supervisory reports, reviews, inspections, and interviews, escalating potential concerns, exceptions, or inconsistencies to Field Supervisors in a timely manner.
• Conduct research and assist in the investigation and evaluation of suspected compliance, supervisory, or regulatory issues.
• Maintain accurate and complete records documenting supervisory activities, compliance reviews, investigations, and outcomes within the Network Office.
• Ensure adherence to books and records requirements established by regulatory agencies and company policies, including the retention and organization of required documentation.
• Recommend and support the development and implementation of goals, strategies, corrective actions, and process improvements that enhance supervision, compliance, and operational effectiveness within the Network Office.
• Develop and maintain subject matter expertise in regulatory and compliance matters, including FINRA, SEC, AML, state insurance and securities regulations, and other applicable supervisory requirements.
• Identify, assess, and communicate potential compliance, operational, reputational, and regulatory risks impacting the Network Office.
• Complete all required training and continuing education programs within established deadlines and apply knowledge gained to daily supervisory and compliance practices.

Skills

SIE

Series 7

Series 63

Life License

Series 9

Series 10

Training

Travel

Relationship Mgmt

Detail-oriented

Time management

Communication

Job description

Northwestern Mutual in Minneapolis is seeking a Supervision Specialist to support the Network Office's supervision strategy, risk management, and regulatory oversight. You will monitor activities of registered representatives, review reports, and help ensure adherence to laws and company policies.

The role emphasizes relationship building, attention to detail, and timely escalation of issues. Licensing milestones and ongoing training are expected as you develop toward a Field Supervisor track.