Technology Compliance Consultant

Summary: Responsible for providing support, building relationships and consulting across the enterprise to advance the company's compliance culture while ensuring business objectives are achieved. This role focuses primarily on regulatory requirements for technology implementation.

Primary Duties & Responsibilities:

• Ownership, execution and facilitation of the company's "Compliance by Design" program - a critical component of the enterprise risk evaluation process for all new and changes to existing technology.
• Works with other risk partners (such as law, privacy, IRC, anti-fraud, data governance, etc.) to ensure overall enterprise process is optimized for users while still identifying and mitigating risk.
• Consults across the enterprise with the objective of advancing the company's culture of compliance while assisting business areas to achieve business targets.
• Identifies, assesses and consults to the mitigation of risk with enterprise business partners across a wide range of compliance topics with guidance of others.
• Assists in resolving complex or unusual compliance/risk issues in partnership with business partners and communicates across enterprise stakeholders to ensure alignment.
• Serves as a subject matter expert (SME) on areas of specialized technical expertise for partners within Enterprise Compliance.
• Participate in projects or efforts in support of the division or department priorities/objectives as needed.

​Knowledge, Skills, Abilities:

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
• FINRA series 7& 24 preferred.
• Minimum of 4 years of relevant experience. Experience in financial services preferred.
• Experience in securities/insurance operations, information technology, law, regulatory, audit, or testing preferred.
• Excellent facilitation skills.
• Strong consulting, communication, and negotiating skills
• Ability to cultivate relationships at all levels of the organization.
• Broad knowledge of Northwestern Mutual compliance systems and business model inclusive of the home office and field.
• Ability to identify and solve technical and operational problems while understanding the broader impact within the division.
• Ability to communicate difficult concepts with others to assist in adopting a different point of view.

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This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA

Compensation Range:

Pay Range - Start:

$76,650.00

Pay Range - End:

$142,350.00

Geographic Specific Pay Structure:

195 - Structure 110: 84,350.00 USD - 156,650.00 USD195 - Structure 115: 88,130.00 USD - 163,670.00 USD

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