Compliance Systems Consultant

About the Job

Serve as a lead on the Enterprise Compliance Systems Management team with responsibility for one or more enterprise compliance monitoring applications used by the Home Office and field. Own complex system enhancements from scoping and requirements through testing, change management, and implementation; direct feature testing and deployment and ensure governance-quality controls are applied. Conduct or oversee daily, monthly, and quarterly monitoring to confirm expected performance and control effectiveness, and perform program‑level analyses of system health, monitoring coverage, and regulatory risk.

Create, maintain and publish robust documentation, user guides, metrics, dashboards, and reports for operational, executive, and regulatory audiences. Drive continuous improvement by identifying, evaluating, and implementing AI, automation, and analytics solutions in alignment with firm AI governance, partnering with cross‑functional teams and vendors to deliver measurable outcomes. Proactively identify, quantify, and escalate significant issues and risk findings to leadership and governance forums; lead remediation, policy/procedure updates, and cross‑functional remediation efforts. Provide training, onboarding, and coaching for team members and end users, and demonstrate the ability to triage and re‑prioritize quickly across multiple systems and competing demands in a dynamic, regulatory‑driven environment.

What You'll Do

• Lead and advance assigned initiatives for one or more monitoring and surveillance systems (scoping, requirements, design, UAT, deployment, change control), coordinating with multiple internal and external stakeholders.

• Conduct daily, monthly, and quarterly monitoring operations for assigned systems; validate system performance, tune detection logic to reduce false positives, and ensure monitoring coverage aligns with regulatory expectations and firm policies.

• Provide requirements to create monitoring dashboards.  Monitor and publish compliance metrics, KPIs, dashboards, and trend reports that inform oversight decisions and executive/regulatory reporting; translate data into actionable insights and propose enhancements and process changes.

• Perform baseline and ad hoc analyses to identify and quantify compliance risk and system limitations; document findings, recommend mitigations, and escalate significant risks to leadership and governance forums.

• Drive continuous improvement by identifying automation and analytics opportunities, building business cases with success metrics, and leading pilots and program rollouts in accordance with firm AI and change governance.

• Manage vendor-delivered enhancements and services: define business requirements, validate deliverables through rigorous testing, maintain release documentation, and coordinate support/resolution of operational issues.

• Maintain and update system documentation, supervisory manuals, user guides, and procedural artifacts; ensure policies and procedures are aligned with system behavior, controls, and regulatory requirements.

• Provide training, onboarding, and coaching for divisional employees and, potentially, stakeholders; oversee user support escalation paths and ensure consistent, high‑quality responses to regulatory and oversight requests.

• Lead and facilitate cross‑functional planning and stakeholder communications across field and Home Office; influence outcomes without direct authority and build consensus on enhancements, prioritization, and program roadmaps.

• Mentor and provide leadership to less‑senior team members; delegate tasks, review work products, and help develop the team’s technical and compliance capabilities.

• Triage and prioritize work by risk, urgency, and impact; rapidly re‑prioritize tasks and shift focus across multiple systems and competing demands while maintaining accuracy and timelines.

What You Bring to the Table

Required

• Minimum of 6 years of relevant experience supporting compliance monitoring, surveillance, or related technology programs; experience in financial services compliance or supervisory environments preferred.

• Demonstrated experience leading medium‑to‑large, cross‑functional system projects from requirements through production implementation.

• Experience evaluating, piloting, and implementing AI/automation/analytics solutions in a regulated environment, including building business cases and defining success metrics; practical knowledge of AI governance requirements.

• Strong analytical skills with experience generating and analyzing baseline and recurring reports and synthesizing multiple data sources to drive recommendations.

• Proven problem‑solving and decision‑making ability; able to balance regulatory risk, business impact, and resource constraints.

• Excellent written and verbal communication skills; able to explain complex or sensitive information and build consensus across field and Home Office stakeholders.

• Demonstrated ability to triage, prioritize, and re‑prioritize tasks quickly across multiple system tools in a dynamic, regulatory‑driven environment.

Preferred

• FINRA registration (Series 7 and 24), preferred.

• Bachelor’s degree in business, finance, information systems, or related field (or equivalent combination of education and experience).

• Prior experience supporting multiple enterprise compliance monitoring/surveillance systems and coordinating across Home Office and field stakeholders.

• Experience responding to regulatory inquiries/examinations and producing regulatory deliverables.

• Familiarity with ticketing/change‑management systems, data visualization tools, and vendor management.

• Prior experience mentoring or leading team members and coordinating governance/escalation processes.

Skills You Have

Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.

Compliance Metrics, Monitoring & Reporting: Establishes, analyzes and interprets compliance metrics. Defines and implements monitoring controls in order to communicate compliance status, risks, trends and monitors results to stakeholders.

Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.

Decision Making: Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.

Industry Knowledge: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape within a particular industry / sector to better understand and address unique client requirements, challenges, and context.

Project Management: Delivers projects in alignment to business requirements, specific success criteria, and stakeholder expectations. Plans, manages, and completes projects keeping cost and time considerations in mind.

#LI-Hybrid

Compensation Range:

Pay Range - Start:

$89,360.00

Pay Range - End:

$134,040.00

Geographic Specific Pay Structure:

Structure 110:

$98,320.00 USD - $147,480.00 USD

Structure 115:

$102,800.00 USD - $154,200.00 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.

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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.