Compliance Sr. Specialist
Northwestern Mutual(12 days ago)
About this role
A Compliance and Supervision Specialist at Northwestern Mutual supports the review and oversight of field offices to ensure adherence to industry regulations and company policies. The role involves conducting inspections, advising on compliance practices, and collaborating on risk management and process improvements within the financial services sector.
Required Skills
- FINRA
- Regulations
- Compliance
- Inspection
- Risk Management
- Excel
- Financial Services
- Securities
- Policies
About Northwestern Mutual
northwesternmutual.comNorthwestern Mutual is a financial partner that offers personalized plans, top-rated services and life insurance. Find a financial advisor and get started on your plan today.
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