Compliance Systems Management Senior Specialist

About the Job:

Within Enterprise Compliance, this individual works within a team structure to support the monitoring and surveillance systems for electronic communications and social media. This individual will advance basic system features through their life cycle to implementation. The individual performs routine assignments to ensure the monitoring system is performing as expected. The individual will also perform a series of baseline analysis pertaining to system health and regulatory risks.

What You'll Do:

• For the assigned monitoring and surveillance systems, engage in assigned project work; participate in the discussions related to the creation, testing and implementation of system enhancements; provide value by assisting in the completion of miscellaneous intermediate/advanced projects required to improve the overall effectiveness of the system.
• Update system documentation, as well as compliance and supervisory manuals. Additionally, keep supervisory guidance reference materials current.
• Perform various administrative tasks to support divisional monitoring systems.
• Create and/or monitor reporting and dashboards to measure system effectiveness.
• Provide baseline analysis regarding areas of compliance risk.
• Participate as a resource on intermediate/advanced divisional project teams. As needed, independently lead a project.

What You'll Bring to the Role:

• Bachelor's Degree preferred in business, finance or related and/or equivalent combination of education and work experience.
• Minimum of 2 years of relevant experience. Experience working at a financial firm preferred.
• Experience working with core product lines and compliance monitoring systems preferred.
• Ability to solve complex problems, take a new perspective on existing solutions and exercise judgement based on the analysis of multiple sources of information.
• Ability to explain difficult or sensitive information while working to build consensus.
• Comfortable working with all levels of management across the field and home office.
• Excellent written and oral communication skills.
• Ability to generate and analyze baseline reports

Skills You Have:

• Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
• Compliance Metrics, Monitoring & Reporting: Establishes, analyzes and interprets compliance metrics. Defines and implements monitoring controls in order to communicate compliance status, risks, trends and monitors results to stakeholders.
• Continuous Improvement: Utilizes available methods to identify opportunities, executes solutions and measures impact to improve existing practices and processes. Implements feedback and lessons learned. Leverages the ability to identify and experiment assumptions and hypothesis for products to be able to refine and improve them at any stage of the life cycle.
• Industry Knowledge: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape within a particular industry / sector to better understand and address unique client requirements, challenges, and context.
• Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.
• Project Management: Delivers projects in alignment to business requirements, specific success criteria, and stakeholder expectations. Plans, manages, and completes projects keeping cost and time considerations in mind.
• Risk Assessment & Identification: Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.

This position has been classified as Non-Registered Fingerprint (NRF) under NMIS guidelines and requires fingerprinting.

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Compensation Range:

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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.

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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.

Compliance Metrics, Monitoring & Reporting (NM) - Advanced, Policy & Procedure (NM) - Advanced, Strategic Thinking (NM) - Advanced, Risk Assessment & Identification (NM) - Advanced, Industry Knowledge (NM) - Advanced, Attention to Detail (NM) - Advanced, Cross Functional Partnering & Planning (NM) - Intermediate, Continuous Improvement (NM) - Advanced, Decision Making (NM) - Advanced, Project Management (NM) - Intermediate

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