Enterprise Compliance Assistant Director at Northwestern Mutual

Milwaukee, Wisconsin, United States

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Not SpecifiedCompensation

Senior (5 to 8 years), Expert & Leadership (9+ years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, InsuranceIndustries

Requirements

5+ years progressive experience in financial services compliance
Strong technical expertise in compliance regulations and risk management processes
Keen understanding of our field structure and roles within
Exceptional problem-solving skills with a track record of developing innovative solutions
Excellent communication and interpersonal skills, with the ability to build and maintain strong relationships
Strategic thinker with the ability to influence and drive compliance initiatives aligned with business objectives
Experience in designing and delivering customized training programs
Ability to manage multiple priorities and work effectively in a fast-paced, dynamic environment
Active FINRA Series 7 and 24

Responsibilities

Provide expert consultation to the Director of Supervision on highly complex and unprecedented topics raised by our top firms, serving as the liaison between field and corporate on all compliance and supervision matters, ensuring swift and coordinated resolution across leaders
Aggregate and consult on information needed by the Director of Supervision to execute on a seamless cross-network office experience despite system-limitations. Support the redesign of workflows impacted by cross-territory challenges
Pioneer a modernized compliance framework based on a profound understanding of ensemble business strategy, team dynamics, client focus, and trust
Facilitate communication across compliance divisions, business partners, and field stakeholders to ensure alignment in achieving compliance objectives, intentional risk management, and collaborative exploration. Advise leaders on the potential compliance impacts of ensemble business objectives
Support the identification, design, and delivery of tailored training programs in response to data trends, industry changes, and evolving risks
Provide continuous support for initiatives such as annual training and attestation monitoring, optimizing contracting workflows, managing staff compensation, and conducting transaction reviews, particularly in areas where systems restrict cross-territory access
Shape future compliance iterations and influence policy development by leveraging insights gathered through field partnership, innovative thinking, and visionary leadership

Skills

Key technologies and capabilities for this role

ComplianceSupervisionRisk ManagementData AggregationWorkflow DesignStrategic ConsultingStakeholder CollaborationTraining DevelopmentConsultation

Questions & Answers

Common questions about this position

What experience is required for the Enterprise Compliance Assistant Director role?

Candidates need 5+ years of progressive experience in financial services compliance.

What key skills are needed for this position?

The role requires strong technical expertise in compliance regulations and risk management processes, exceptional problem-solving skills with a track record of developing innovative solutions, and excellent communication skills.

Is a keen understanding of Northwestern Mutual's field structure required?

Yes, a keen understanding of the company's field structure and roles within it is required.

What is the salary or compensation for this role?

This information is not specified in the job description.

Is this a remote position or does it require office work?

This information is not specified in the job description.

Northwestern Mutual

Provides financial security services, and wealth management

About Northwestern Mutual

Northwestern Mutual offers personalized financial planning, life insurance, and investment services, leveraging leading-edge technology to manage over $125 billion in client assets for more than 4.5 million clients.

Milwaukee, WisconsinHeadquarters

1856Year Founded

N/ACompany Stage

Consulting, Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Growing your Career

Compensation & Time Off

Insurance plans

Health Savings Account

Wellness programs & resources

401(k) plan and cash balance contributions

Risks

Fintech platforms like Carefull challenge traditional financial advisory services.

Internal competition may arise from Wellthi's focus on the Black community.

Customer dissatisfaction may grow due to increased retirement age expectations.

Differentiation

Northwestern Mutual maintains the highest financial strength ratings in the industry.

The company launched 'The Great Realization' campaign to refocus customer priorities.

Northwestern Mutual offers a unique Long-Term Advantage product with life insurance benefits.

Upsides

The aging population increases demand for retirement planning and long-term care solutions.

Partnerships with tech firms enhance Northwestern Mutual's data analytics capabilities.

Digital transformation in insurance leads to more personalized customer experiences.

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