Compliance Specialist

Northwestern Mutual

. Assist Field Supervisors in ensuring operational, sales, and service activities comply with applicable laws, regulations, and company policies .

Posted 10/14/2026full-timeMinneapolis • Minnesota • United StatesMid-LevelSenior💰 $60,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance and regulatory requirements, including FINRA, SEC, and AML regulations, while effectively managing operational and supervisory activities. Strong analytical and organizational skills are essential for maintaining accurate records and ensuring adherence to policies and procedures.

Highest-signal resume keywords

FINRA Securities Industry Essentials (SIE)Series 7Series 63Strong Relationship Management SkillsAnalytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ReviewsRegulatory InvestigationsData AnalysisRecord KeepingRisk AssessmentProcess ImprovementSupervisory Reporting

Soft Skills

Critical ThinkingOrganizational SkillsTime ManagementWritten CommunicationOral Communication

Certifications & Qualifications

FINRA Series 9FINRA Series 10State Life Insurance License

Industry Keywords

FINRA RegulationsSEC RegulationsAML RegulationsSupervisory RequirementsOperational Risks

About the role

Key responsibilities & impact

Assist Field Supervisors in ensuring operational, sales, and service activities comply with applicable laws, regulations, and company policies
Monitor supervised persons through supervisory reports, reviews, inspections, and interviews
Escalate potential concerns, exceptions, or inconsistencies to Field Supervisors
Conduct research and assist in investigating and evaluating suspected compliance, supervisory, or regulatory issues
Maintain accurate records of supervisory activities, compliance reviews, investigations, and outcomes
Ensure adherence to books and records requirements, including retention and organization of documentation
Recommend and support goals, strategies, corrective actions, and process improvements
Develop and maintain expertise in FINRA, SEC, AML, state insurance and securities regulations, and supervisory requirements
Identify, assess, and communicate compliance, operational, reputational, and regulatory risks
Complete required training and continuing education and apply acquired knowledge to supervisory and compliance practices

Requirements

What you’ll need

FINRA Securities Industry Essentials (SIE), Series 7, Series 63, and resident state life insurance license, or ability to obtain within 180 days of hire
FINRA Series 9 and Series 10 within 270 days of hire
Ability to complete required internal trainings
Ability to travel locally around Minnesota as required
Minimal out-of-state travel as required
Strong relationship management skills
Highly detailed and data-oriented with solid critical thinking, organizational, and analytical skills
Good time management and ability to prioritize and manage multiple tasks
Desire to learn and seek solutions from available resources
Ability to maintain accuracy and meet daily deadlines
Strong written and oral communication skills

Benefits

Comp & perks

Additional $5,000 added to salary upon successful completion of the SIE, Series 7, Series 63, and state life, accident & health insurance license
Additional $5,000 added to salary upon successful completion of Series 9 and Series 10
Opportunity to obtain professional licenses and build a career path toward becoming a qualified Field Supervisor
Required training and continuing education programs