Oversight & Engagement Specialist

Northwestern Mutual • Milwaukee, WI

6d • Hybrid

About The Position

As a member of the compliance team, the Oversight & Engagement Specialist builds foundational knowledge of the regulatory environment, internal policies, and risk management practices that support the business. Working with more experienced team members, this role assists with compliance reviews, monitoring activities, issue tracking, reporting, and process improvements. The position also supports divisional projects and helps promote a strong culture of compliance.

This position is classified as a Registered Representative under NMIS guidelines and requires fingerprinting. Series 24 and Series 7 are listed in connection with the role; the job description states that FINRA SIE, Series 7, and Series 24 can be obtained within department specifications and identifies them as preferred.

Requirements

• A bachelor's degree is preferred, or an equivalent combination of education and relevant experience.
• Ability to prioritize work, manage multiple tasks, seek guidance when appropriate, and work effectively within a team environment.
• Demonstrated ability to build effective working relationships with team members and business partners.
• Strong analytical and problem-solving skills, including the ability to review information, identify issues, and apply sound judgment.
• The position is classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Nice To Haves

• FINRA SIE, Series 7, and Series 24 can be obtained within department specifications; these are identified as preferred.

Responsibilities

• Assist with compliance reviews, monitoring activities, and routine testing to evaluate adherence to internal policies, procedures, and applicable regulatory requirements.
• Document observations, findings, and follow-up actions by preparing summaries, reports, and tracking materials.
• Review records, data, and supporting materials for accuracy, completeness, and consistency with established requirements.
• Respond to routine compliance-related questions and provide day-to-day support through shared team channels, including phone queues and email mailboxes.
• Assist with issue tracking, remediation follow-up, and coordination with business partners to support timely resolution of compliance matters.
• Contribute to projects by gathering information, maintaining documentation, and supporting process improvements.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level