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Compliance Support Representative

Northwestern Mutual

Northwestern Mutual

Customer Service, Legal
Milwaukee, WI, USA
Posted on Friday, February 9, 2024
At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative and growing.

We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.

We care. We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.


As a Compliance Support Representative, you will be integral to supporting Enterprise Compliance. You will perform compliance-related tasks that vary between department needs requiring you to exhibit an agile approach. Your duties encompass issues identification and resolution, research and evaluation using available resources, and handling of routine casework processing. In consultation with business partners, you'll be handling standard and non-standard casework, deciding on the appropriate course of action, making referrals to the appropriate provider, identifying the need for special handling as appropriate, and taking responsibility for advancing non-standard activities to collaborators. As a collaborator, you'll benefit professionally from the opportunity to share knowledge and seek the advice of your peers as you contribute to the realization of the team's overall business goals; quality, productivity and customer satisfaction are your highest priorities.

Primary Duties And Responsibilities

  • Deliver timely and accurate processing of compliance operations (i.e. personal securities account processing, marketing compliance reviews, outside business activity processing, political contribution monitoring, and other day to day compliance support tasks).
  • Resolve standard and non-standard operational problems within the defined timeframes and service level agreements.
  • Analyze root causes of operational malfunctions and provide resolutions.
  • Provide exceptional customer service to internal and external customers.
  • Address business partner issues promptly and accurately.
  • Manage own job calendars and flows to ensure timely completion with moderate supervision/guidance.
  • Handle issues independently and follow-up on outstanding issues promptly.
  • Maintain daily logs of operational issues and maintenance activities.
  • Contribute to business meetings and report on issue status.
  • Collaborate with the IBO support team on ad hoc requests and projects.
  • Evaluate current operational processes and recommend improvements.
  • Other duties as assigned.


  • Associate's Degree with an emphasis in business or business related field or two to four years related experience and/or training; or equivalent combination of education and experience.
  • Minimum five years customer service experience, preferably in the insurance or investment industry.
  • Sound decision making skills; ability to use a mixture of analysis, wisdom, experience and judgment to arrive at a conclusion or recommendation.
  • Comfortable taking the initiative and suggesting new ideas, processes, improvements etc.
  • Highly detailed and data-savvy with solid critical thinking, organizational and analytical skills.
  • Ability to prioritize workload and seek support when appropriate, as well as work within a larger team
  • Excellent communication skills; must be able to communicate with internal and external parties in a professional, comprehensive, and gracious manner
  • Strong computer, time management and organizational skills are critical
  • Thorough knowledge of Microsoft Office with strong emphasis on Excel proficiency
  • Consistently good attendance and job performance.


Great pay package, 401K, Company sponsored retirement plan, Educational assistance, Performance based incentive pay, Medical, dental and vision insurance, Parental leave, Caregiver time off….and more

This position has been classified as an Associated Person under NMIS guidelines and requires fingerprinting and completion of required form.

Required Certifications

Non-Registered Fingerprinted - FINRA

Compensation Range

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Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additional information relating to location-based pay structures.

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now!

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.


We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.

  • Flexible work schedules
  • Concierge service
  • Comprehensive benefits
  • Employee resource groups