Assistant Director, Regulatory Compliance

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.
Summary:

• This role is responsible for identifying and managing compliance risks by leading efforts across the organization driven by regulatory changes required by the state or federal regulatory agencies that regulate Northwestern Mutual or its subsidiaries/affiliates. This work is done on behalf of or in partnership with the Chief Compliance Officers (CCOs) of Northwestern Mutual and subsidiaries/affiliates.

Primary Duties & Responsibilities:

• Sets the direction for and executes on regulatory intake, triage and implementation framework to ensure compliance with regulatory changes across the enterprise.
• Synthesizes regulatory activity, proposals, industry trends and adopted new/changes to existing regulation to set direction for efforts and initiatives to ensure compliance in partnership with business areas.
• Provides direction and coordination for overall regulatory intake, triage and change program for Northwestern Mutual and its subsidiaries / affiliates.
• Works independently on complex regulatory efforts for Northwestern Mutual and its subsidiaries / affiliates. Gives guidance, direction and leads through team members to ensure successful implementation of changes driven by regulatory needs. Gives guidance to product line representation as needed.
• Develops overall program communication approach ensuring proactive communications are provide throughout engagements to appropriate parties and results are delivered timely to Steering Committee(s), CCO(s) and business stakeholders.
• Receives, evaluates, prioritizes, and assigns regulatory work as needed.
• Leads large cross-departmental initiatives and/or participates in projects or efforts in support of the division or department priorities/objectives as needed.
• Collaborates with product team and cross-department personnel.
• Responsible for staffing, development, and people leadership within function.
• Accomplishes goals through the execution of team members.
• Responsible for planning flow of work, with a focus on quality and efficiency.
• Ensures strategic alignment of dotted line team members that assist in execution of regulatory work.

Knowledge, Skills, Abilities:

• Bachelor's Degree Preferred or equivalent combination of education and experience preferred.
• FINRA series 7 & 24 preferred.
• Minimum of 6 years of relevant experience. Experience in financial services preferred.
• Experience in securities/insurance operations, information technology, law, regulatory, audit, or testing preferred.
• Ability to independently set priorities and carry out multiple and diverse assignments within tight time deadlines
• Excellent consulting, communication, and negotiating skills
• Exceptional technical and analytical skills.
• Ability to direct the resolution of highly complex business problems by applying advanced critical thinking
• Ability to persuade others to take action and implement change.

#LI-Hybrid
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.
Required Certifications:
Series 24 - FINRA, Series 7 - FINRA
Compensation Range:
Pay Range - Start:
$102,060.00
Pay Range - End:
$189,540.00
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 click here for additional information relating to location-based pay structures.
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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.
FIND YOUR FUTURE
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