Senior Practice Management & Compliance Specialist

Northwestern Mutual; Milwaukee (WI); On-site; USD 65,000 - 98,000; Full time

Benefits offered by this job

Flexible work schedules

Concierge service

Comprehensive benefits

Employee resource groups

Job summary

Northwestern Mutual is seeking a qualified professional to evaluate and guide staff incentive compensation plans, ensuring alignment with regulatory requirements and client interests. The role supports Advisors and Practice Management with expert feedback and governance.

You will audit plans, balance competing priorities, and collaborate with field leadership to resolve issues while driving enterprise initiatives and training.

Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• FINRA Series 6 & 26 required or obtained within 6 months.
• Minimum 3-5 years of experience in insurance, investment, or financial services.
• Knowledge of Microsoft Office with emphasis on Excel.

Responsibilities

• Review, approve, and audit staff compensation incentive plans as a FINRA registered principal.
• Formulate recommendations balancing interests of Career Advisors and Field Leadership.
• Identify issues and elevate to law and enterprise stakeholders as needed.
• Conduct audits and collect evidence of payment artifacts per firm policy.
• Assist local Supervision in individual cases and coordinate resolution of questions.
• Educate and train Enterprise stakeholders and supervision team members.
• Lead and participate in projects and continuous improvement efforts.

Skills

Attention to Detail

Collaborative Partnership & Planning

Decision Making

Policy & Procedure Management

Education

Bachelor's Degree Preferred

Tools

Excel

Microsoft Office

Job description

Northwestern Mutual is seeking a qualified professional to evaluate and guide staff incentive compensation plans, ensuring alignment with regulatory requirements and client interests. The role supports Advisors and Practice Management with expert feedback and governance.

You will audit plans, balance competing priorities, and collaborate with field leadership to resolve issues while driving enterprise initiatives and training.