Senior Sales Practices Specialist

The Compliance   Senior Specialist   role applies intermediate knowledge of regulatory requirements, internal policies, and risk management practices to independently execute compliance activities and support risk mitigation efforts. This role bridges execution and   consulting   responsibilities by handling more complex work, exercising judgment within defined frameworks, and partnering with stakeholders to address compliance risks.   The role contributes to monitoring, analysis, issue resolution, and process improvement while beginning to provide guidance to business partners and less experienced team members.     What You’ll Do: Independently perform compliance reviews to evaluate adherence to regulatory requirements, internal policies, and procedures   Document findings, observations, and risk assessments with clear, well-supported analysis   Support identification, tracking, and resolution of compliance issues, including coordination with business partners on remediation efforts   Evaluate risk severity and escalate complex, sensitive, or ambiguous issues as needed   Provide guidance to business partners on routine to moderately complex compliance requirements, policies, and processes   Respond to compliance-related questions and help interpret policy and regulatory expectations in practical terms   Build effective working relationships with cross-functional stakeholders to   facilitate   issue resolution and alignment   Identify   opportunities to   develop or   improve compliance   policies, procedures,   processes, controls, and documentation   Participate   in or   lead   components of process improvement initiatives and projects       What You'll Bring To The Role Bachelor's degree in business, finance, law, risk management, or a related field preferred, or an equivalent combination of education and experience.    FINRA Series SIE, Series 7, and Series 24 required.     Minimum of 3 to 5 years of relevant experience. Experience in the financial services, Insurance, or Investment industry preferred   Demonstrated ability to independently manage workload and prioritize competing responsibilities   Strong analytical and problem-solving skills with the ability to assess risk and apply sound judgment   Effective communication skills, with the ability to clearly translate compliance requirements into practical guidance   Knowledge of insurance and   investment   products and operations.    Ability to solve complex problems; take a new perspective on an existing solution; exercise judgement based on the analysis of multiple sources of information.    #LI-Onsite, #LI-Hybrid This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA Compensation Range: Pay Range - Start: $70,320.00 Pay Range - End: $105,480.00 Geographic Specific Pay Structure: Structure 110: $77,360.00 USD - $116,040.00 USD Structure 115: $80,880.00 USD - $121,320.00 USD 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. Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now! 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