Enterprise Compliance Differentiated Solutions Senior Specialist

About the Job:

The Enterprise Compliance Differentiated Solutions Senior Specialist is an individual responsible for executing and supporting compliance activities and practical business solutions for complex field practices. The role works with Enterprise Compliance, supervision, business partners, and field stakeholders to research issues, coordinate information, support established solutions, and promote consistent execution. The position contributes to cross-functional initiatives through reliable follow-through, clear communication, and disciplined process support.

What You'll Do:

• Provide research, coordination, and operational support for complex compliance and supervision matters, escalating issues as appropriate and helping drive timely resolution.
• Gather, organize, validate, and communicate information needed to support a consistent cross-network office experience, including workflow activities related to cross-territory challenges.
• Execute established compliance processes and contribute observations and recommendations that may improve business alignment, client focus, team effectiveness, and operational outcomes.
• Coordinate communication among compliance teams, business partners, and field stakeholders to support alignment on compliance priorities, responsibilities, and risk considerations.
• Assist with the development, maintenance, and delivery of targeted training, job aids, and guidance in response to data trends, industry changes, and evolving risks.
• Perform and coordinate assigned activities for core compliance initiatives, including annual training and attestation monitoring, contracting workflows, staff compensation processes, and transaction reviews.
• Identify process gaps, document requirements, and support implementation of policy, process, and operational improvements in partnership with field and business stakeholders.
• Maintain accurate documentation, track assigned work, and provide timely status updates to support transparency, consistency, and effective risk management.

What You'll Bring:

• 3+ years of experience in financial services compliance, supervision, risk management, operations, or a related field.
• Working knowledge of compliance regulations, supervision practices, and risk management processes.
• Understanding of field structure, business operations, and stakeholder roles.
• Strong analytical and problem-solving skills, with the ability to research issues, evaluate information, and recommend practical next steps.
• Strong written and verbal communication skills and the ability to build effective working relationships across functions.
• Ability to execute compliance activities aligned with broader business objectives and established risk parameters.
• Experience supporting training, guidance, process documentation, or operational workflows preferred.
• Ability to manage multiple priorities, meet deadlines, and work effectively in a fast-paced, collaborative environment.
• FINRA Series 7 and Series 24 are required.

Skills You'll Have:

• Builds effective working relationships with business partners and compliance stakeholders.
• Applies sound judgment and escalates complex or ambiguous compliance matters appropriately.
• Translates business needs into clear compliance requirements, process steps, and practical support.
• Executes work with attention to detail, accuracy, accountability, and consistent follow-through.
• Contributes effectively to cross-functional initiatives and process improvements.
• Demonstrates commitment to continuous improvement, collaboration, and service excellence.

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 that welcomes talented individuals of all backgrounds. 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.

About Us

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. What started in Milwaukee, WI has grown into 7,000+ home office professionals split across 3 campuses: New York City, Franklin and downtown Milwaukee (HQ) - each one bringing with it its own unique talent and culture. 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 as we are growing our digital and tech capabilities and are always on the lookout for bright, tech-savvy candidates.

Northwestern Mutual is an equal opportunity employer that welcomes talented individuals of all backgrounds. 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.