Regulatory Compliance Expert

8 hours ago


Milwaukee, Wisconsin, United States Northwestern Mutual Full time

Join a dynamic team at Northwestern Mutual, where you can grow your career and contribute to our mission of making a positive difference in people's lives. As a Regulatory Compliance Consultant, you will play a critical role in ensuring the company's regulatory compliance programs meet the highest standards.

About Northwestern Mutual

Northwestern Mutual is a strong, innovative, and growing company that invests in its people. We believe relationships are built on trust, and our employees are the foundation of our success. With over 160 years of history, we continue to evolve and adapt to the changing needs of our clients and communities.

Salary: $75,180 - $139,620 per year

As a Regulatory Compliance Consultant, you will be responsible for supporting the development and administration of all aspects of the regulatory compliance programs as assigned. This includes:

  • Assisting in the preparation of regulatory filings, including Forms ADV and PF
  • Preparing and reviewing regulatory disclosures, marketing and advertising materials, and responses to investor due diligence requests
  • Supporting the periodic distribution and review of compliance policies and procedures
  • Preparing compliance reports and related materials for boards and committees

You will work closely with key stakeholders, including portfolio management, business partners, investment operations, administration, accounting, legal, and internal audit. Your expertise will help ensure the company's regulatory compliance programs are effective and efficient.

Requirements

To be successful in this role, you will need:

  • Bachelor's degree required; minimum of 6 years of professional experience in regulatory compliance, law, audit, or risk management
  • Proven proficiency with compliance, reporting, and data systems and tools (e.g., Bloomberg, FIS Employee Compliance Manager, Portfolio Tracker)
  • Highly proficient with Microsoft Office products: Word, Excel, Access, Power BI, and PowerPoint
  • Self-motivated with ability to work independently and in a team environment

We offer a comprehensive benefits package, flexible work schedules, and a concierge service. Our employee resource groups foster a culture of diversity and inclusion. If you're looking for a challenging and rewarding role, apply now to become part of our team.



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