Compliance Sr. Specialist

External

Northwestern Mutual · Milwaukee, WI

$70K–$121K/yrFull-timeOn-siteToday

ComplianceLeadership

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About the role

Support VPs and regional teams delivering compliance and supervision consultation to field leadership and representatives. Conduct on-site FINRA-mandated branch inspections, interviews, and file reviews; document findings; train and educate staff; partner with oversight and home office teams to improve compliance processes; and serve as subject matter expert on regulatory matters and divisional projects.

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