Regulatory Response Consultant
At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
This is a Hybrid role at our Milwaukee, WI location.
FINRA Series 7 & 24 are required OR willing to obtain within 6 months of start date.
Summary : This role is responsible for managing compliance risks by executing on one or more of the following on behalf of or in partnership with the Chief Compliance Officer (CCO) of NMIS and NMWMC :
- Exams initiated by state or federal regulatory agencies that regulate Northwestern Mutual or its subsidiaries / affiliates.
- Required FINRA reportable events including required Form U4 / Form U5 and customer complaint related filings.
Primary Duties & Responsibilities :
- Drives and manages initiatives to help increase regulatory preparedness across the enterprise.
- Works independently or manages examinations, regulatory inquiries, and required regulatory filings.
- Provides subject matter expert guidance and consultation to home office and field partners regarding various reporting regulations and filing requirements.
- Provide proactive communications throughout regulatory engagements to appropriate parties. Communicate results to CCO and business stakeholders.
- Execute key projects or efforts in support of the division or department priorities / objectives as needed.
- Drive remediation efforts resulting from examinations and inquiries as identified during the engagement.
Knowledge, Skills, Abilities :
- Bachelor's Degree or equivalent combination of education and experience preferred.
- FINRA series 7 & 24 required or obtained within six months.
- Minimum of 4 years of relevant experience. Experience in financial services preferred.
- Experience in securities / insurance operations, compliance or regulatory function preferred.
- Ability to lead work with cross-functional partners, individually, and within small teams.
- Strong analytical skills.
- Ability to solve unique problems with a broad impact on the business; requires conceptual and innovative thinking to contribute to solutions.
- Ability to assist in influencing others to act or implement change.
LI-Hybrid
Required Certifications :
Series 24 - FINRA, Series 7 - FINRA, SIE - FINRA
Compensation Range : Pay Range - Start :
Pay Range - Start : $68,320.00
$68,320.00
Pay Range - End : $126,880.00
$126,880.00
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