Northwestern Mutual · 2 weeks ago
Financial/Securities/Insurance Compliance Manager
Campbell, CA
Full-time
Onsite
Mid, Senior Level
$115K/yr - $130K/yrNorthwestern Mutual – San Jose is seeking an experienced Compliance Officer/Manager to lead its culture of compliance. The role implements proactive strategies and risk management methods while overseeing the financial planning process, ensuring compliance with various regulations and company policies.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Hiring Manager
Kate Michaels, CLF, CLU, ChFC, RICP
Responsibilities
Develops and administers well-defined procedures & processes to assure planning and sales practices of firm’s members comply with all laws, regulations, and company policies
Supervises and monitors sales practices through supervisory systems, reviews and consultations of financial advisors
Reviews securities transactions for suitability
Maintains oversight of investment products, insurance products, including annuities and other variable product sales
Addresses ongoing issues and trends and patterns with advisors
Approves new accounts, money movement, trade corrections, share class conversions, wire transfers, journal authorizations, etc
Maintains recordkeeping and reporting per company guidelines
Manages compliance logs and physical securities review
Provides compliance training and regular communications to the Network Office
Meets with the Managing Partner to report on the supervision climate of the network office
Regularly scheduled meetings with leadership team to report and discuss ways to best support advisors
Conducts training and education on compliance
Develops relationships with advisors and teams to assist and promote compliance culture in their practice
Works close with corporate office compliance team identify areas of opportunity and concerns
Administers all registered persons complete Firm Element continuing education
Qualification
Required
Experience as a Compliance Officer/Manager
Ability to implement proactive strategies and risk management methods
Experience working with financial advisors and leadership teams
Oversight of financial planning processes including investment transactions and insurance products
Knowledge of SEC/FINRA regulations
Ability to develop and administer procedures and processes for compliance
Experience supervising and monitoring sales practices
Ability to review securities transactions for suitability
Knowledge of investment products and insurance products including annuities
Ability to address ongoing issues and trends with advisors
Experience approving new accounts, money movement, trade corrections, share class conversions, wire transfers, journal authorizations
Ability to maintain recordkeeping and reporting per company guidelines
Experience managing compliance logs and physical securities review
Ability to provide compliance training and regular communications
Experience meeting with leadership teams to report on supervision climate
Ability to conduct training and education on compliance
Ability to develop relationships with advisors and teams to promote compliance culture
Experience working with corporate office compliance teams
Company
Northwestern Mutual
Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, and investments.
Founded in 1857
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Timothy Gerend
Chairman, President and CEO
Phil Odella
COO/CFO
Recent News
UPSTATE BUSINESS JOURNAL
2025-12-12
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