Investment Compliance Specialist

5 days ago

Milwaukee, Wisconsin, United States Northwestern Mutual Full time
About the Role

We are seeking a highly skilled Investment Compliance Consultant to join our team at Northwestern Mutual. As a key member of our compliance team, you will play a critical role in ensuring the integrity and effectiveness of our regulatory compliance programs.

Key Responsibilities
  • Assist in the development and administration of compliance policies and procedures, including portfolio compliance, compliance training, testing, and risk management.
  • Support the preparation of regulatory filings, including Forms ADV and PF, and assist in the review of regulatory disclosures, marketing materials, and investor due diligence requests.
  • Coordinate and assess compliance-related reports and information from internal and external sources, and assist in the identification and design of program improvements.
  • Interact with key stakeholders, including portfolio management, business partners, and internal audit, to provide compliance support and guidance.
  • Support the design and administration of compliance testing programs, including transactional testing and forensic testing.
  • Assist in the administration of the code of ethics and personal trading policies, including training, addressing inquiries, and managing periodic certifications.
Requirements
  • BA/BS degree required; minimum of 6 years of professional experience in compliance, legal, audit, or risk management.
  • Proven proficiency with compliance, reporting, and data systems and tools.
  • Highly proficient with Microsoft Office products, including Word, Excel, Access, Power BI, and PowerPoint.
  • Self-motivated with the ability to work independently and in a team environment.
  • Excellent organizational, problem-solving, decision-making, and time management skills.
  • Excellent written and verbal communication skills.
  • High level of integrity.
About Northwestern Mutual

We are a best-in-class company that puts our clients' interests at the center of all we do. We offer a dynamic and inclusive work environment, with opportunities for growth and development. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.

  • Investment Compliance Specialist

    1 week ago

    Milwaukee, Wisconsin, United States Northwestern Mutual Full time

    About the RoleWe are seeking a highly skilled and experienced Compliance Officer to join our team at Northwestern Mutual. As a Compliance Officer, you will play a critical role in ensuring that our investment products and services are in compliance with relevant laws and regulations.Key ResponsibilitiesDevelop and implement compliance policies and procedures...

  • Investment Operations Specialist

    4 weeks ago

    Milwaukee, Wisconsin, United States Randstad North America, Inc. Full time

    About the Role:We are seeking a highly skilled Investment Operations Specialist to join our team at Randstad North America, Inc. in a hybrid role that combines operational duties with research and problem-solving skills.Key Responsibilities:Perform a variety of operational duties within an assigned area of Investment Operations, including researching and...

  • Investment Accounting Senior Specialist

    5 days ago

    Milwaukee, Wisconsin, United States Northwestern Mutual Full time

    Investment Accounting Senior SpecialistAt Northwestern Mutual, we are committed to excellence in investment accounting. As an Investment Accounting Senior Specialist, you will play a critical role in ensuring the accuracy and integrity of our financial reporting. Your expertise will be essential in preparing financial statements, managing investment...

  • Alternative Investments Specialist

    2 weeks ago

    Milwaukee, Wisconsin, United States UMB Financial Corporation Full time

    {"title": "Alternative Investments Specialist", "content": "Job SummaryAs a key member of the Institutional Banking team, you will play a critical role in ensuring the accuracy and integrity of alternative investment accounts. Your attention to detail and analytical skills will be essential in balancing and reviewing transactions to achieve complete...

  • Investment Operations Specialist

    2 weeks ago

    Milwaukee, Wisconsin, United States Randstad Full time

    Job Title: Investment Operations SpecialistWe are seeking an experienced Investment Operations Specialist to join our team at Randstad. As an Investment Operations Specialist, you will be responsible for performing a variety of operational duties within an assigned area of Investment Operations.Key Responsibilities:Research and resolve operational and/or...

  • Investment Operations Specialist

    2 weeks ago

    Milwaukee, Wisconsin, United States Randstad Full time

    Job Title: Investment Operations SpecialistWe are seeking a highly skilled Investment Operations Specialist to join our team at Randstad. As an Investment Operations Specialist, you will be responsible for performing a variety of operational duties within an assigned area of Investment Operations.Key Responsibilities:Research and resolve operational and/or...

  • Investment Operations Specialist

    1 week ago

    Milwaukee, Wisconsin, United States Randstad Full time

    Job Title: Investment Operations SpecialistOur client is seeking an experienced Investment Operations Specialist to join their team. As a key member of the investment operations team, you will be responsible for performing a variety of operational duties within an assigned area of investment operations.Key Responsibilities:Research and resolve operational...

  • Investment Operations Specialist

    3 weeks ago

    Milwaukee, Wisconsin, United States Randstad Full time

    Investment Operations SpecialistOur client is seeking a highly skilled Investment Operations Specialist to join their team. As a key member of the investment operations team, you will be responsible for performing a variety of operational duties within an assigned area of investment operations.Key Responsibilities:Research and resolve operational and/or...

  • Investment Operations Specialist

    1 week ago

    Milwaukee, Wisconsin, United States BCforward Full time

    Job Title: Investment Operations SpecialistBCforward is seeking a highly motivated Investment Operations Specialist to join our team in Chicago, IL.Job Summary:We are looking for a detail-oriented and effective communicator to place and confirm open-ended mutual fund and money market trades on behalf of supported business lines and their respective...

  • Investment Operations Specialist

    3 weeks ago

    Milwaukee, Wisconsin, United States BCforward Full time

    Job Title: Investment Operations SpecialistBCforward is seeking a highly motivated Investment Operations Specialist to join our team in Milwaukee, WI.Job SummaryWe are looking for a detail-oriented and effective communicator to support our business lines and clients with open-ended mutual fund and money market trades.Key ResponsibilitiesPlace and confirm...

  • Investment Operations Specialist

    1 day ago

    Milwaukee, Wisconsin, United States BCforward Full time

    Job Title: Investment Operations SpecialistBCforward is seeking a highly motivated Investment Operations Specialist to join our team in Chicago, IL.Job Summary:We are looking for a detail-oriented and effective communicator to place and confirm open-ended mutual fund and money market trades on behalf of supported business lines and their respective...

  • Investment Accounting Specialist

    5 days ago

    Milwaukee, Wisconsin, United States Northwestern Mutual Full time

    Investment Accounting Role at Northwestern MutualNorthwestern Mutual is seeking a skilled Investment Accounting Specialist to join our team. As an Investment Accounting Specialist, you will play a critical role in preparing accurate financial reporting for fixed income, equity securities, and alternative investments for Northwestern Mutual and related...

  • Investment Operations Specialist

    5 days ago

    Milwaukee, Wisconsin, United States BCforward Full time

    Job Title: Investment Operations SpecialistBCforward is seeking a highly motivated Investment Operations Specialist to join our team in Milwaukee, WI.About the Role:We are looking for a detail-oriented and effective communicator to support our business lines and clients. The successful candidate will be responsible for placing and confirming open-ended...

  • Investment Operations Specialist

    2 weeks ago

    Milwaukee, Wisconsin, United States BCforward Full time

    Job Title: Investment Operations SpecialistWe are seeking a highly motivated Investment Operations Specialist to join our team at BCforward. As a key member of our operations team, you will be responsible for placing and confirming open-ended mutual fund and money market trades on behalf of supported business lines and their respective clients.Key...

  • Investment Operations Specialist

    3 weeks ago

    Milwaukee, Wisconsin, United States Randstad Full time

    Job SummaryWe are seeking a highly skilled Investment Operations Specialist to join our team at Randstad. As a key member of our operations team, you will be responsible for performing a variety of operational duties within the Investment Operations department.Key ResponsibilitiesResearch and resolve operational and/or accounting exceptions, including...

  • Investment Operations Specialist

    2 weeks ago

    Milwaukee, Wisconsin, United States Randstad Full time

    Job SummaryWe are seeking a highly skilled Investment Operations Specialist to join our team at Randstad. As a key member of our operations team, you will be responsible for performing a variety of duties within the Investment Operations department.Key ResponsibilitiesResearch and resolve operational and/or accounting exceptions, including extensive review...

  • Investment Accounting Senior Specialist

    5 days ago

    Milwaukee, Wisconsin, United States Northwestern Mutual Full time

    Investment Accounting Senior Specialist OpportunityAt Northwestern Mutual, we are committed to excellence in investment accounting. We are seeking a highly skilled and experienced Investment Accounting Senior Specialist to join our team.Key Responsibilities:Prepare accurate financial reporting for public and private fixed income and equity securities for...

  • Investment Portfolio Manager

    3 weeks ago

    Milwaukee, Wisconsin, United States Keller Executive Search Full time

    Job DescriptionJob Title: Investment SpecialistJob Summary:Keller Executive Search is seeking a highly skilled and experienced Investment Specialist to join our team. As an Investment Specialist, you will be responsible for providing financial planning and investment advice to clients, developing and implementing strategies to attract new clients and...

  • Investment Operations Specialist

    3 weeks ago

    Milwaukee, Wisconsin, United States Rose International Full time

    Job SummaryRose International is seeking a highly skilled Investment Operations Specialist to join our team. As a key member of our financial operations team, you will be responsible for placing and confirming open-ended mutual fund and money market trades on behalf of our supported business lines and their respective clients.Key ResponsibilitiesPlace and...

  • Alternative Investments Operations Specialist

    3 weeks ago

    Milwaukee, Wisconsin, United States UMB Bank Full time

    About the RoleWe are seeking a highly detail-oriented and organized Alternative Investments Operations Specialist to join our team at UMB Bank. As a key member of our Transfer Agency, you will play a critical role in processing documents for alternative investment products, ensuring accuracy and timeliness in transactions.Key Responsibilities:Process...