Compliance Expert for Regulatory Affairs
7 days ago
We are seeking a highly skilled Compliance Expert to join our team at Northwestern Mutual, a strong and innovative company with over 160 years of history.
As a Compliance Expert, you will play a vital role in supporting the development and administration of regulatory compliance programs, including policies and procedures, portfolio compliance, training, testing, and risk management.
This is an exciting opportunity to work in a dynamic environment where you can grow your career while enjoying excellent benefits and a commitment to diversity and inclusion.
Key Responsibilities:
- Assist in the administration of Rule 206(4)-7 compliance programs
- Prepare regulatory filings, including Forms ADV and PF
- Review and prepare regulatory disclosures, marketing materials, and responses to investor requests
- Support compliance monitoring practices, including account guidelines monitoring and electronic communications monitoring
- Coordinate and assess compliance reports from internal and external sources
Requirements:
- Bachelor's degree required; minimum 6 years of professional experience, preferably in compliance or a related field
- Proven proficiency in compliance systems and tools, as well as Microsoft Office products
- Ability to work independently and collaboratively in a team environment
- Excellent organizational, problem-solving, and communication skills
Compensation:
The salary range for this position is estimated to be between $75,180 and $139,620 per year, based on factors such as skills, education, and location. Please note that compensation decisions are dependent on individual circumstances.
Benefits:
- Flexible work schedules
- Concierge service
- Comprehensive benefits package
- Employee resource groups
About Northwestern Mutual:
We believe relationships are built on trust, and we invest in our people. At Northwestern Mutual, you can grow your career while enjoying a positive work environment and excellent benefits.
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