Compliance Officers

3 weeks ago

Milwaukee WI, United States Northwestern Mutual Full time

We care and make a positive difference.

We provide opportunities for employees to grow themselves, their career and in turn, our business.
We make a positive difference in our communities. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.

Perform complex compliance testing assignments under the direction of testing Assistant Director with primary responsibility for implementing testing plans and assignments for Northwestern Mutual or one of its regulated entities (e.g. NMIS, WMC, MSA or variable product separate accounts).

Support Assistant Director in implementing compliance testing plans for Northwestern Mutual Life or its regulated entities (e.g. NMIS, WMC, MSA, variable product separate accounts). Support Assistant Director in developing an annual entity test plan including test steps and an implementation plan.
Test procedures, processes and controls as directed by the consultant and work with the entity CCO, compliance staff and business staff to complete assignments.
Communicate testing results to the CCO and business directors or managers.
Coordinate assigned testing with operations departments and internal audit.
Participate in projects and perform tasks in support of the testing team and Enterprise Compliance department objectives. Bachelor's degree or equivalent work experience.
4 years of professional level work experience in the insurance or financial services industries with a track record of increasing responsibility
Knowledge of or experience with technical compliance requirements or financial service products, such as life insurance, annuities, mutual funds or general securities.
Candidates may be considered for a consultant level position if they possess registrations (Series 7/24) and have additional relevant experience.

Great pay package, 401K, Company sponsored retirement plan, Educational assistance, Performance-based incentive pay, Medical, dental and vision insurance, Parental leave, Caregiver time off….This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.


Non-Registered Fingerprinted - FINRA
Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.


We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion. 
Flexible work schedules

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