Compliance Systems Management Senior Specialist

Northwestern Mutual•Milwaukee, WI

12d•Hybrid

About The Position

Within Enterprise Compliance, this individual works within a team structure to support the monitoring and surveillance systems for electronic communications and social media. This individual will advance basic system features through their life cycle to implementation. The individual performs routine assignments to ensure the monitoring system is performing as expected. The individual will also perform a series of baseline analysis pertaining to system health and regulatory risks.

Requirements

Bachelor's Degree preferred in business, finance or related and/or equivalent combination of education and work experience
Minimum of 2 years of relevant experience
Ability to solve complex problems, take a new perspective on existing solutions and exercise judgement based on the analysis of multiple sources of information
Ability to explain difficult or sensitive information while working to build consensus
Comfortable working with all levels of management across the field and home office
Excellent written and oral communication skills
Ability to generate and analyze baseline reports
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.
Continuous Improvement: Utilizes available methods to identify opportunities, executes solutions and measures impact to improve existing practices and processes. Implements feedback and lessons learned. Leverages the ability to identify and experiment assumptions and hypothesis for products to be able to refine and improve them at any stage of the life cycle.
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.
Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.
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.
Risk Assessment & Identification: Leverages industry knowledge to determine and seek hazards that could potentially prevent the program, enterprise, or investment from achieving their objectives; designs systematic processes of identifying severity of hazards and evaluating the scale and impacts of any associated risk on the business.

Nice To Haves

Experience working at a financial firm preferred
Experience working with core product lines and compliance monitoring systems preferred

Responsibilities

For the assigned monitoring and surveillance systems, engage in assigned project work
Participate in the discussions related to the creation, testing and implementation of system enhancements
Assist in the completion of miscellaneous intermediate/advanced projects required to improve the overall effectiveness of the system
Update system documentation, as well as compliance and supervisory manuals
Keep supervisory guidance reference materials current
Perform various administrative tasks to support divisional monitoring systems
Create and/or monitor reporting and dashboards to measure system effectiveness
Provide baseline analysis regarding areas of compliance risk
Participate as a resource on intermediate/advanced divisional project teams
Independently lead a project