Wealth Oversight and Controls Senior Specialist
Northwestern Mutual(1 month ago)
About this role
The Oversight and Controls Senior Specialist at Northwestern Mutual is a Wealth organization role focused on operational controls and oversight for fiduciary (advisory) programs and broker‑dealer offerings. The position contributes to Wealth policy and procedure frameworks, audit finding management, and record retention to support regulatory and enterprise standards. It works cross-functionally in a hybrid environment to uphold compliance and risk governance.
Required Skills
- Operational Controls
- Risk Management
- Policy Design
- Regulatory Compliance
- Audit Management
- Record Retention
- Analytical Thinking
- Communication
- Organization
- Project Management
Qualifications
- Bachelor's Degree
- FINRA SIE
- Series 7
- Series 24
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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