Compliance Systems Management Senior Specialist

Summary:

Within Enterprise Compliance, this individual works within a team structure to support the monitoring system subject matter expert (SME). Taking direction from the SME, this individual will advance basic system features through their life cycle to implementation. The individual performs routine assignments to ensure the monitoring system is performing as expected. The individual will also perform a series of baseline analysis pertaining to system health and regulatory risks.

Primary duties & responsibilities:

• For the assigned monitoring and surveillance systems, engage in assigned project work to provide support to the subject matter expert of the respective system(s); participate in the discussions related to the creation, testing and implementation of system enhancements; provide value by assisting in the completion of miscellaneous intermediate/advanced projects required to improve the overall effectiveness of the system.
• Update system documentation, as well as compliance and supervisory manuals. Additionally, keep supervisory guidance reference materials current
• Perform various administrative tasks to support divisional monitoring systems
• Create and/or monitor reporting and dashboards to measure system effectiveness
• Provide baseline analysis to SME regarding areas of compliance risk
• Work with all subsidiary Chief Compliance Officers as well as department management to ensure appropriate controls are in place to facilitate compliance with the regulations.
• Participate as a resource on intermediate/advanced divisional project teams. As needed, independently lead a project team.

Knowledge, skills, & abilities:

• Bachelor's Degree preferred in business, finance or related and/or equivalent combination of education and work experience.
• Minimum of 2 years of relevant experience. Experience working at a financial firm preferred.
• Experience working with core product lines and compliance monitoring systems preferred.
• Ability to solve complex problems, take a new perspective on existing solutions and exercise judgement based on the analysis of multiple sources of information.
• Ability to explain difficult or sensitive information while working to build consensus.
• Ability to work with all levels of management within the field and home office.
• Excellent written and oral communication skills.
• Ability to generate and analyze baseline reports

#LI-Hybrid

Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please c lick here for additional information relating to location-based pay structures.

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.

We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups