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Investment Compliance Assistant
Investment Compliance Assistant-February 2024
Milwaukee
Feb 10, 2026
About Investment Compliance Assistant

  JOB REQUIREMENTS: At Northwestern Mutual, we are strong, innovative andgrowing. We invest in our people. We care and make a positivedifference. At Northwestern Mutual, we believe relationships are builton trust. That our lives and our work matter. These beliefs launched ourcompany over 160 years ago. Today, they\'re just a few of the reasonswhy people choose to build careers at Northwestern Mutual. We\'re strongand growing. In a company with such a long and storied history, this maybe the most exciting and important time to be a part of NorthwesternMutual. We\'re strong, innovative and growing. We invest in our people.We provide opportunities for employees to grow themselves, their careerand in turn, our business. We care. We make a positive difference in ourcommunities. Nationally, thousands have benefitted from our support ofresearch and programs to fight childhood cancer. Each year, ourFoundation, employees and financial representatives donate time, talentand financial support to causes they\'re passionate about. What you willdo: The Assistant Director - Investment and Fund Compliance will be amember of Northwestern Mutual\'s compliance department and willprimarily focus on supporting the company\'s registered mutual fundbusiness and the registered investment adviser to the funds. Theposition will serve as the program lead working closely with othermembers of the compliance department, business partners, legal team,fund administration and operations teams, and other service providersand stakeholders on the daily administration of the compliance programs.This includes supporting all aspects of the compliance programs,including among other things the design and operation of compliancepolicies and procedures, risk evaluations and conflicts monitoring,testing, training, addressing violations, and reporting. The person inthis role must stay current on legal and regulatory developments andbest practices impacting registered mutual funds and their investmentadvisers and support the design and implementation of appropriateadjustments to the compliance programs and risk management processes.The program lead will report to the divisional leader for the compliancedepartment\'s institutional and fund compliance team and work closelywith the Chief Compliance Officer (CCO) for the company\'s institutionalinvestment adviser subsidiaries and its registered and unregisteredfunds. How you will do it: Primary compliance contact withresponsibility for the management and operation of all aspects of theRule 38a-1 and Rule 206(4)-7 compliance programs on a day-to-day basis.Direct and coordinate the involvement of other compliance team membersassigned to support the compliance programs and may include directlyleading other team members. Primary contact for portfolio management andother business partners, investment operations, mutual fundadministration,... For full info follow application link. EEO/AAEmployer/Vets/Disability ***** APPLICATION INSTRUCTIONS: ApplyOnline: ipc.us/t/78F6B4942B884AE4 Qualified females, minorities, andspecial disabled veterans and other veterans are encouraged to apply.

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