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Compliance Testing Senior Specialist

2 months ago

Milwaukee, United States Northwestern Mutual Full time
At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

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.

Summary:

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).

Primary duties & responsibilities:

  • 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). Assignments include working independently, with oversight from the consultant, on complex test plans and taking a lead role on moderately complex test plans.
  • 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. May take a leadership role within a particular assignment.


Knowledge, skills, & abilities:

  • 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.
  • Effective written, verbal, and problem-solving skills. Demonstrated experience influencing across functions.
  • Effective analytical skills and the ability to organize and manage assigned work with minimal direction.

*Candidates may be considered for a consultant level position if they possess registrations (Series 7/24) and have additional relevant experience.

Benefits:

Great pay package, 401K, Company sponsored retirement plan, Educational assistance, Performance-based incentive pay, Medical, dental and vision insurance, Parental leave, Caregiver time off….and more

#LI-Hybrid

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.

Required Certifications:

Non-Registered Fingerprinted - FINRA

Compensation Range:

Pay Range - Start:

$55,020.00

Pay Range - End:

$102,180.00

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 additional 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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