Senior Sales Practices Specialist

About The JobThe Compliance Senior Specialist role applies intermediate knowledge of regulatory requirements, internal policies, and risk management practices to independently execute compliance activities and support risk mitigation efforts. This role bridges execution and consulting responsibilities by handling more complex work, exercising judgment within defined frameworks, and partnering with stakeholders to address compliance risks. The role contributes to monitoring, analysis, issue resolution, and process improvement while beginning to provide guidance to business partners and less experienced team members. What You’ll Do:Independently perform compliance reviews to evaluate adherence to regulatory requirements, internal policies, and procedures Document findings, observations, and risk assessments with clear, well-supported analysis Support identification, tracking, and resolution of compliance issues, including coordination with business partners on remediation efforts Evaluate risk severity and escalate complex, sensitive, or ambiguous issues as needed Provide guidance to business partners on routine to moderately complex compliance requirements, policies, and processes Respond to compliance-related questions and help interpret policy and regulatory expectations in practical terms Build effective working relationships with cross-functional stakeholders to facilitate issue resolution and alignment Identify opportunities to develop or improve compliance policies, procedures, processes, controls, and documentation Participate in or lead components of process improvement initiatives and projects What You'll Bring To The RoleBachelor's degree in business, finance, law, risk management, or a related field preferred, or an equivalent combination of education and experience.  FINRA Series SIE, Series 7, and Series 24 required.  Minimum of 3 to 5 years of relevant experience. Experience in the financial services, Insurance, or Investment industry preferred Demonstrated ability to independently manage workload and prioritize competing responsibilities Strong analytical and problem-solving skills with the ability to assess risk and apply sound judgment Effective communication skills, with the ability to clearly translate compliance requirements into practical guidance Knowledge of insurance and investment products and operations. Ability to solve complex problems; take a new perspective on an existing solution; exercise judgement based on the analysis of multiple sources of information. #LI-Onsite, #LI-HybridThis position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRACompensation Range:Pay Range - Start:$70,320.00Pay Range - End:$105,480.00Geographic Specific Pay Structure:Structure 110:$77,360.00 USD - $116,040.00 USDStructure 115:$80,880.00 USD - $121,320.00 USDWe 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.Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!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.SummaryLocation: Milwaukee, WI CorporateType: Full time