Investment Compliance Consultant
3 weeks ago
At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they're just a few of the reasons why people choose to build careers at Northwestern Mutual.
We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative and growing.
We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.
We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.
What you will do:
This role supports the development and administration of all aspects of the regulatory compliance programs as assigned, including compliance policies and procedures, portfolio compliance, compliance training, testing and risk management, vendor due diligence and oversight, violations management, regulatory filings and reporting. Focused on compliance support of Northwestern Mutual’s registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities, including compliance services to the company’s registered mutual fund family.
How you will do it:- Assist in all aspects of the administration of Rule 206(4)-7 compliance programs, as needed.
- Assist in the preparation of regulatory filings, including but not limited to Forms ADV and PF.
- Assist in the preparation and review of regulatory disclosures, marketing and advertising materials, and responses to investor and other due diligence requests.
- Support the periodic distribution and review of compliance policies and procedures.
- Prepare compliance reports and related materials for boards and committees.
- Serve as compliance staff on various governance committees and working groups.
- Assist in core compliance monitoring practices, including account guidelines monitoring, compliance with regulatory rules and electronic communications monitoring.
- Coordinate and assess compliance related reports and other information from internal and external sources with the overall design and purpose of the compliance program in mind and assist in the identification and design of program improvements as a result.
- Interact with key stakeholders to provide compliance support, including portfolio management and other business partners, investment operations, administration, accounting, legal, and internal audit.
- Support the design and administration of compliance testing programs, including the transactional testing environment within the portfolio compliance system and the forensic testing schedule.
- Support compliance oversight of sub-advisers and other service providers, including frequent communication with compliance staff, distribution and review of annual and quarterly questionnaires, participation in virtual and on-site (as practicable) due diligence calls, and documentation of findings.
- Support the administration of the code of ethics and personal trading policies, including training, addressing inquiries, managing periodic certifications, brokerage statement reviews, violations reporting, and preparation and review of statistical trend reporting.
- Administrative support of compliance team daily operations, including preparation and maintenance of internal compliance calendars and timelines, working group agendas, statistical reports and other administrative tasks and projects, as needed.
- Participate in various compliance group projects and initiatives.
- Continuously enhance internal processes, project workflows and other procedures
- Other compliance-related duties as assigned.
- BA/BS is required.
- Minimum of 6 years professional experience, preferably with regulatory background in compliance, legal, audit or risk management.
- Proven proficiency with compliance, reporting, and data systems and tools (e.g., Bloomberg, FIS Employee Compliance Manager (formerly, FIS PTA), Portfolio Tracker, Micro Focus, truView, etc.).
- Highly proficient with Microsoft Office products: Word, Excel, Access, Power BI, and PowerPoint
- Self-motivated with the ability to work both independently and in a team environment is also required.
- Ability to balance multiple tasks and effectively manage completing and changing priorities and deadlines.
- Ability to build consensus around compliance related policies, decisions and diplomacy.
- Demonstrated attention to detail.
- Seeks opportunities to learn and volunteers for and shows initiative on tasks and projects.
- Excellent organizational, problem-solving, decision-making and time management skills.
- Excellent written and verbal communication skills.
- High level of integrity.
#LI-Hybrid
Compensation Range:
Pay Range - Start:
$75,180.00
Pay Range - End:
$139,620.00
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; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. 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 additiona l information relating to location-based pay structures.
Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now
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.
If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.
FIND YOUR FUTURE
We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.
- Flexible work schedules
- Concierge service
- Comprehensive benefits
- Employee resource groups
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