Compliance Systems Management Consultant

What you will do:

You'll be working as a subject matter expert (SME) for eCommunications and Social Media monitoring and surveillance systems. Utilizing data resources, product and compliance program knowledge, the SME is responsible for daily, monthly, quarterly monitoring to ensure the systems are performing as expected including providing regular updates to key stakeholders including the Chief Compliance Officers and department leadership. The role is responsible for participating on projects, including leading aspects of projects, and working with external vendors to enhance and update the systems due to changing regulatory, business and product needs not limited to forming business requirements, conducting testing and development of communication and procedural artifacts. The SME will provide front-line system support, training, and ad hoc reporting, including regulatory requests.

How you will do it:

• Work closely with the Compliance System Management team members to ensure the monitoring system is performing in accordance with regulatory requirements, as well as firm policies and procedures.
• Possess a high level of current knowledge of eCommunication and Social Media regulations
• Participate and lead projects of varying scope to assess, develop, coordinate, test and implement enhancements to new or current features.
• Working closely with product owners, business SMEs and end users, develop business requirements, conduct analysis, and communicate on system enhancements or updates.
• Provide value by leading advanced divisional and departmental projects required to improve the overall effectiveness of the system.
• Participate in the evaluation of circumstances related to individual representatives or network offices as requested.
• Develop and implement new processes designed to address changing business needs and regulatory requirements.
• Working with external vendor partners on service, support and projects, including upgrades and enhancements.
• Create, maintain, and update system documentation including technical and system user facing documents, supervisory manuals, reference and communication materials.
• Develop, update, and perform the system training for new divisional employees and new discovery processors in the home office.

Bring Your Best! What this role needs:

• Bachelor's Degree or related and/or equivalent combination of education and experience.
• FINRA registration within 1 year: Series 7, 24.
• Minimum of 6 years of relevant experience. Experience working at a financial firm preferred.
• Experience working with core product lines and compliance monitoring systems preferred.
• Experience in leading projects and processes.
• Ability to solve complex problems, take a new perspective on existing solutions and exercise judgment based on the analysis of multiple sources of information.
• Excellent written and oral communication skills.
• Ability to explain difficult or sensitive information while working to build consensus.
• Ability to generate and analyze baseline reports.

This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

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 USD 195 - Structure 115: 88,130.00 USD - 163,670.00 USD

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.

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 our commitment to a culture of belonging.

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

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