Northwestern Mutual · 16 hours ago
Wealth Oversight and Controls Senior Specialist
Milwaukee, WI
Full-time
Hybrid
Mid, Senior Level
$60K/yr - $129K/yr
3+ years expNorthwestern Mutual is a long-established company that values relationships built on trust and is committed to making a positive difference in communities. The Wealth Oversight and Controls Senior Specialist is responsible for managing operational controls and oversight to mitigate risks associated with fiduciary programs and broker-dealer products, while supporting policy efforts and audit management.
AdviceConsultingEmployee BenefitsFinanceFinancial ServicesInsuranceLife InsuranceWealth Management
Responsibilities
Assists with small to moderate operational controls and oversight for investment products, programs and services in order to mitigate risk
Designs and implements new or existing policies and procedures
Interprets customer (internal and external) needs and can explain and translate product or program features and functions into operational controls and processes to mitigate risks and ensure compliance
Proactively identifies small to moderate process improvements and implements sound solutions that ensure strong oversight controls and maintain efficiency
Ensures the department meets the Enterprise’s books and records requirements and that they’re accurately documented within policies and procedures or ensures the escalation of non-compliance or concerns to the supervisor
Manages the appropriateness and timeliness of proposed resolutions for Wealth internal audit findings
Assists with metrics reporting, regulatory inquiries and examination requests under direct supervision
Participates in cross-functional projects and committees
Qualification
Required
Bachelor's degree or equivalent in business, finance, economics or related field equivalent combination of work experience will be considered
FINRA SIE, Series 7, and Series 24 required
Minimum of 3 years of experience in financial services with an emphasis in controls or investment products or regulatory
Strong attention to detail
Strong verbal and written communication skills
Strong organizational and follow-through skills, with ability to work within deadlines, prioritize work and multitask
Demonstrated ability to positively influence and work collaboratively with all levels of employees
Demonstrated interpersonal skills
Self-motivated and self-directed with the ability to manage multiple assignments with minimal direction
Understanding of broker/dealer and investment advisory operations, supervisory and compliance concepts, and related regulation
Strong ability and willingness to learn new business concepts and procedures and develop risk and controls expertise
Critical thinking and analytical skills, with the ability to research and resolve problems and issues consistent with regulatory requirements
Benefits
Flexible work schedules
Concierge service
Comprehensive benefits
Employee resource groups
Company
Northwestern Mutual
Northwestern Mutual delivers financial security to millions with life, disability income and long-term care insurance, and investments.
5001-10000 employees
Funding
Current Stage
Late StageLeadership Team
Timothy Gerend
Chairman, President and CEO
Phil Odella
COO/CFO
Recent News
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