Strategic Enterprise Compliance Solutions Lead (Hybrid)

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

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