Regulatory Response Consultant

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. This is a Hybrid role at our Milwaukee, WI location.
FINRA Series 7 & 24 are required OR willing to obtain within 6 months of start date.
Summary:  This role is responsible for managing compliance risks by executing on one or more of the following on behalf of or in partnership with the Chief Compliance Officer (CCO) of NMIS and NMWMC:
  • Exams initiated by state or federal regulatory agencies that regulate Northwestern Mutual or its subsidiaries/affiliates.
  • Required FINRA reportable events including required Form U4/Form U5 and customer complaint related filings.
Primary Duties & Responsibilities:
  • Drives and manages initiatives to help increase regulatory preparedness across the enterprise.
  • Works independently or manages examinations, regulatory inquiries, and required regulatory filings.
  • Provides subject matter expert guidance and consultation to home office and field partners regarding various reporting regulations and filing requirements.
  • Provide proactive communications throughout regulatory engagements to appropriate parties. Communicate results to CCO and business stakeholders.
  • Execute key projects or efforts in support of the division or department priorities/objectives as needed.
  • Drive remediation efforts resulting from examinations and inquiries as identified during the engagement.
Knowledge, Skills, Abilities:
  • Bachelor's Degree or equivalent combination of education and experience preferred.
  • FINRA series 7 & 24 required or obtained within six months.
  • Minimum of 4 years of relevant experience. Experience in financial services preferred.
  • Experience in securities/insurance operations, compliance or regulatory function preferred.
  • Ability to lead work with cross-functional partners, individually, and within small teams.
  • Strong analytical skills.
  • Ability to solve unique problems with a broad impact on the business; requires conceptual and innovative thinking to contribute to solutions.
  • Ability to assist in influencing others to act or implement change.

#LI-Hybrid

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA

Compensation Range:

Pay Range - Start:

$68,320.00

Pay Range - End:

$126,880.00

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
PandoLogic. Category:General, Location:Milwaukee, WI-53205

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