Senior Practice Management & Compliance Specialist

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

Job summary

Northwestern Mutual is seeking a Senior Principal responsible for evaluating staff incentive compensation plans and ensuring compliance with federal, state, and product regulations. You will audit plans, provide independent recommendations, and support field leadership with strategic insights.

The role requires FINRA Series 6 & 26, 3–5 years in financial services, and strong Excel skills. Location is Milwaukee, with a focus on governance and enterprise alignment, offering growth within a

Qualifications

• 3–5 years of proven experience in insurance, investment, or financial services.
• FINRA Series 6 & 26 required or obtained within 6 months.
• Bachelor's degree or equivalent.
• Strong Excel proficiency and Microsoft Office skills.
• Knowledge of compliance, contracts, licensing, and registration.

Responsibilities

• Review and audit staff compensation incentive plans.
• Provide recommendations balancing stakeholders and expectations.
• Identify issues and elevate to law and enterprise stakeholders as needed.
• Educate and train Enterprise stakeholders and supervision team members.

Skills

FINRA Series 6

FINRA Series 26

Auditing

Excel Proficiency

Regulatory Compliance

Decision Making

Relationship Building

Project Leadership

Education

Bachelor's degree or equivalent

Tools

Excel

Job description

Northwestern Mutual is seeking a Senior Principal responsible for evaluating staff incentive compensation plans and ensuring compliance with federal, state, and product regulations. You will audit plans, provide independent recommendations, and support field leadership with strategic insights.

The role requires FINRA Series 6 & 26, 3–5 years in financial services, and strong Excel skills. Location is Milwaukee, with a focus on governance and enterprise alignment, offering growth within a