Sr Director Compliance Systems

Northwestern Mutual • New York, NY

5d • $140,000 - $260,000 • Hybrid

About The Position

Leads enterprise Compliance Systems and Strategic Advisory capabilities, overseeing compliance surveillance systems, data and analytics, and complex compliance programs. Responsible for the strategy, design, delivery, and effectiveness of compliance technology and advisory initiatives that support regulatory monitoring, risk mitigation, and enterprise decision making across Life, NMIS, and Wealth Management businesses.

Requirements

• Bachelor’s degree required; advanced degree or relevant certifications preferred.
• Extensive experience in compliance, risk management, compliance technology, analytics, or related regulatory functions.
• Demonstrated leadership of complex, enterprise wide programs and systems with significant regulatory impact.
• Proven ability to operate at a senior leadership level, influencing outcomes across multiple business lines.

Responsibilities

• Owns the strategy, development, and effectiveness of enterprise compliance surveillance systems and data & analytics programs.
• Provides seniorlevel compliance technology and program advisory to Compliance Leadership and business partners, translating regulatory expectations into scalable systems, processes, and programs.
• Leads cross enterprise initiatives addressing sales practices monitoring, regulatory risk, and compliance program maturity, operating effectively in environments with ambiguity and evolving regulatory guidance.
• Oversees enterprise priorities including ecommunications monitoring, trade monitoring, and data governance to ensure regulatory readiness and consistent execution.
• Proactively identifies compliance risks, monitoring gaps, and system deficiencies through data driven insights and advisory engagement.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Number of Employees: 1,001-5,000 employees