Compliance Expert

5 days ago


Milwaukee, Wisconsin, United States Northwestern Mutual Careers Full time
Job Description:

We are seeking a skilled Regulatory Affairs Consultant to join our team at Northwestern Mutual. As a key member of our compliance department, you will play a critical role in supporting the development and administration of regulatory compliance programs. This includes compliance policies and procedures, portfolio compliance, compliance training, testing and risk management, vendor due diligence and oversight, violations management, regulatory filings and reporting.

Key Responsibilities:
  • Assist in all aspects of the administration of Rule 206(4)-7 compliance programs
  • Prepare and review 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
Requirements:
  • 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)
  • Highly proficient with Microsoft Office products: Word, Excel, Access, Power BI, and PowerPoint


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