Northwestern Mutual

Northwestern Mutual

VP - Enterprise Compliance Technology Solutions

Milwaukee, WI Corporate · Vp

Sponsorship not specifiedDetected 25 days ago
Machine LearningData AnalysisComplianceRecruitingCustomer SuccessLeadershipCommunication

About the role

  • Provides expert guidance on the regulatory impact of emerging technologies, represents Compliance in industry groups, and translates technology and regulatory trends into actionable guidance.

Responsibilities

  • Identifies analytics-driven insights to advance company strategy, proactively manage risk, and increase consistency and data quality across Compliance, while building the team's analytics expertise and digital fluency.
  • Leads the Technology Governance & Regulatory (TGR) team and the Compliance by Design (CbD) process to integrate compliance requirements into Authorization to Operate (ATO) protocols.

Requirements

  • A Bachelor's degree (preferably with emphasis in broker dealer compliance) or equivalent experience and a minimum of 10 years of progressive compliance, supervision, technology or distribution leadership
  • Demonstrate strong organizational leadership and the ability to cultivate relationships and influence at all levels.
  • Apply exceptional technical and analytical capabilities to use data and metrics for decision-making and builds multiyear technology roadmaps and successful partnerships with technology vendors.
  • Possess thorough knowledge of federal and state securities and insurance regulations and regulatory expectations for broker dealers and advisory practices, and demonstrates strong strategic thinking, risk management, and decision-making skills. (Preferred)
  • Communicate complex compliance matters clearly to technical and nontechnical audiences, leads complex compliance programs and teams, and cultivates strong relationships across all levels of the organization.
  • Compensation Range:
  • Pay Range - Start:
  • $196,000.00
  • Pay Range - End:
  • $294,000.00
  • This role is eligible for additional short-term and long-term incentive compensation.
  • 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

Nice to have

  • Experience in the investment, variable insurance, securities, or wealth management industry, including work with a national retail sales organization. (Preferred)
  • Series 7 and 24 licenses (Preferred)

Compensation

  • This role is eligible for additional short-term and long-term incentive compensation.
  • It's why we share the salary range for most of our roles.
  • 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.
  • Pay Range - Start:
  • Pay Range - End:

Benefits

  • Leads interdepartmental initiatives to address sales practices, monitoring needs and delivers monitoring processes to support home office supervision and field management.

Equal opportunity

  • Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds.
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This listing is sourced directly from Northwestern Mutual's careers page and normalized into a canonical job model.