Investment Compliance Consultant

Investment Compliance Consultant Northwestern Mutual - Corporate Careers 4.5 ( ) Milwaukee, WI on company site Why you should apply for a job to Northwestern Mutual -

Corporate Careers :

Ranked as one of the 4.5/5 in overall job satisfaction 4.9/5 in supportive management 73% say women are treated fairly and equally to men 83% would recommend this company to other women 86% say the CEO supports gender diversity Ratings are based on anonymous reviews by Fairygodboss members. See all reviews A concierge service that will tackle your personal "to-do" list, such as running errands, organizing vacations, and scheduling services. 12 weeks of paid parental leave along with programs that support family planning services. Strong commitment to philanthropy evidenced by the NWM Foundation and each employee receiving 16 paid hours annually for volunteering. #

JR-45272

Position summary isclosures, marketing and advertising materials, and responses to investor and other due diligence requests. Support the periodic distribution and review of compliance policies and procedures. Prepare compliance reports and related materials for boards and committees. Serve as compliance staff on various governance committees and working groups. Assist in core compliance monitoring practices, including account guidelines monitoring, compliance with regulatory rules and electronic communications monitoring. Coordinate and assess compliance related reports and other information from internal and external sources with the overall design and purpose of the compliance program in mind and assist in the identification and design of program enhancements as a result. Interact with key stakeholders to provide compliance support, including portfolio management and other business partners, investment operations, administration, accounting, legal, and internal audit. Support the design and administration of compliance testing programs, including the transactional testing environment within the portfolio compliance system and the forensic testing schedule. Support compliance oversight of sub-advisers and other service providers, including frequent communication with compliance staff, distribution and review of annual and quarterly questionnaires, participation in virtual and on-site (as practicable) due diligence calls, and documentation of findings. Support the administration of the code of ethics and personal trading policies, including training, addressing inquiries, managing periodic certifications, brokerage statement reviews, violations reporting, and preparation and review of statistical trend reporting. Administrative support of compliance team daily operations, including preparation and maintenance of internal compliance calendars and timelines, working group agendas, statistical reports and other administrative tasks and projects, as needed. Participate in various compliance group projects and initiatives. Continuously enhance internal processes, project workflows and other procedures Other compliance-related duties as assigned. What You'll Bring to the

Role:

BA/BS is required. Minimum of 6 years professional experience, preferably with regulatory background in compliance, legal, audit or risk management. Demonstrated competency with compliance, reporting, and data systems and tools (e.g., Bloomberg, FIS Employee Compliance Manager (formerly, FIS PTA), Portfolio Tracker, Micro Focus, truView, etc.). Highly proficient with Microsoft Office products: Word, Excel, Access, Power BI, and PowerPoint Self-motivated with the ability to work both independently and in a team environment is also required. Ability to balance multiple tasks and effectively manage completing and changing priorities and deadlines. Ability to build consensus around compliance related policies, decisions and diplomacy. Demonstrated attention to detail. Seeks opportunities to learn and volunteers for and shows initiative on tasks and projects. Excellent organizational, problem-solving, decision-making and time management skills. Excellent written and verbal communication skills. High level of integrity.

Skills You Will Have:

Attention to

Detail:

Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.

Continuous Improvement:

Utilizes available methods to identify opportunities, executes solutions and measures impact to improve existing practices and processes. Implements feedback and lessons learned. Leverages the ability to identify and experiment assumptions and hypothesis for products to be able to refine and improve them at any stage of the life cycle.

Cross Functional Partnering & Planning:

Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.

Decision Making:

Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.

Policy & Procedure:

Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.

Project Management:

Delivers projects in alignment to business requirements, specific success criteria, and stakeholder expectations. Plans, manages, and completes projects keeping cost and time considerations in mind.

Risk Assessment & Identification:

Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business. #

LI-Hybrid Compensation Range:

Pay Range -

Start:

$89,360.00 Pay Range -

End:

$134,040.00

Geographic Specific Pay Structure:

Structure 110: Structure 115: We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more. Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now! Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives. Why you should apply for a job to Northwestern Mutual -

Corporate Careers :

Ranked as one of the 4.5/5 in overall job satisfaction 4.9/5 in supportive management 73% say women are treated fairly and equally to men 83% would recommend this company to other women 86% say the CEO supports gender diversity Ratings are based on anonymous reviews by Fairygodboss members. See all reviews A concierge service that will tackle your personal "to-do" list, such as running errands, organizing vacations, and scheduling services. 12 weeks of paid parental leave along with programs that support family planning services. Strong commitment to philanthropy evidenced by the NWM Foundation and each employee receiving 16 paid hours annually for volunteering.