Job Information
NORTHWESTERN MUTUAL LIFE INSURANCE Investment Compliance Consultant in MILWAUKEE, Wisconsin
JOB REQUIREMENTS: At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference. At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company over 160 years ago. Today, they\'re just a few of the reasons why people choose to build careers at Northwestern Mutual. We\'re strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We\'re strong, innovative and growing. We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business. We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they\'re passionate about. What you will do: This role supports the development and administration of all aspects of the regulatory compliance programs as assigned, including compliance policies and procedures, portfolio compliance, compliance training, testing and risk management, vendor due diligence and oversight, violations management, regulatory filings and reporting. Focused on compliance support of Northwestern Mutual\'s registered investment adviser and private fund products. May also work in support of other department and team compliance responsibilities, including compliance services to the company\'s registered mutual fund family. How you will do it: Assist in all aspects of the administration of Rule 206(4)-7 compliance programs, as needed. Assist in the preparation of regulatory filings, including but not limited to Forms ADV and PF. Assist in the preparation and review of regulatory disclosures, marketing and advertising materials, and responses to investor and other due diligence requests. Support the periodic distribution and review of compliance policies and procedures. Prepare compliance reports and related materials for boards and committees. Serve as compliance staff on various governance committees and working groups. Assist in core compliance monitoring practices, including account guidelines monitoring, compliance with regulatory rules and electronic communications monitoring. Coordinate and assess compliance related reports and other information from internal and external sources with the overall design and purpose of the compliance program in mind and assist in the identification and design of program improvements as a result. Interact with key stakeholders to provide compliance support, including portfolio management and other business partners, investment operations, administration, accounting, legal, and internal audit. Support the design and... For full info follow application link. EEO/AA Employer/Vets/Disability ***** APPLICATION INSTRUCTIONS: Apply Online: ipc.us/t/74266B1796734F95 Qualified females, minorities, and special disabled veterans and other veterans are encouraged to apply.
