Investment Compliance Consultant

About The Role

Supports the development and administration of all aspects of the regulatory compliance programs as assigned, including compliance policies and procedures, portfolio compliance, compliance training, testing and risk management, vendor due diligence and oversight, violations management, regulatory filings and reporting. Focused on compliance support of Northwestern Mutual’s registered investment adviser and private fund products.

What You'll Do

• Aid in the administration of Rule 206(4)-7 compliance programs, as needed.
• Prepare regulatory filings, including but not limited to Forms ADV and PF.
• Prepare and review regulatory disclosures, marketing and advertising materials, and responses to investor and other due diligence requests.
• Periodically distribute and review compliance policies and procedures.
• Prepare compliance reports and related materials for boards and committees.
• Assist on various governance committees and working groups.
• Support core compliance monitoring practices, including account guidelines monitoring, compliance with regulatory rules, and electronic communications monitoring.
• Coordinate and assess compliance-related reports and other information from internal and external sources, ensuring they align with the overall compliance program, and assist in identifying and designing program enhancements.
• Interact with key stakeholders to provide compliance support, including portfolio management and other business partners, investment operations, administration, accounting, legal, and internal audit.
• Support the design and administration of compliance testing programs, including transactional testing within the portfolio compliance system and the forensic testing schedule.
• Oversee compliance oversight of sub-advisers and other service providers, including frequent communication with compliance staff, distribution and review of annual and quarterly questionnaires, participation in virtual and on-site (as practicable) due diligence calls, and documentation of findings.
• Administer the code of ethics and personal trading policies, including training, addressing inquiries, managing periodic certifications, brokerage statement reviews, violations reporting, and preparation and review of statistical trend reporting.
• Support the administrative operations of the compliance team, including preparation and maintenance of internal compliance calendars and timelines, working group agendas, statistical reports, and other administrative tasks and projects, as needed.
• Participate in various compliance group projects and initiatives.
• Continuously enhance internal processes, project workflows, and other procedures.
• Other compliance-related duties as assigned.

What You'll Bring To The Role

• Bachelor's degree (BA/BS) is required.
• Minimum of 6 years professional experience, preferably with regulatory background in compliance, legal, audit or risk management.
• Demonstrated competency with compliance, reporting, and data systems and tools (e.g., Bloomberg, FIS Employee Compliance Manager (formerly, FIS PTA), Portfolio Tracker, Micro Focus, truView, etc.).
• Highly proficient with Microsoft Office products: Word, Excel, Access, Power BI, and PowerPoint.
• Self-motivated with the ability to work both independently and in a team environment.
• Able to balance multiple tasks and effectively manage completing and changing priorities and deadlines.
• Able to build consensus around compliance-related policies, decisions, and diplomacy.
• Demonstrated attention to detail.
• Seeks opportunities to learn and volunteers for and shows initiative on tasks and projects.
• Excellent organizational, problem-solving, decision-making, and time management skills.
• Excellent written and verbal communication skills.
• High level of integrity.

Skills

• Decision Making (NM) - Intermediate
• Risk Assessment & Identification (NM) - Intermediate
• Cross Functional Partnering & Planning (NM) - Intermediate
• Project Management (NM) - Advanced
• Continuous Improvement (NM) - Intermediate
• Policy & Procedure (NM) - Intermediate
• Attention to Detail (NM) - Advanced

Pay Range

Pay Range - Start: $89,360.00
Pay Range - End: $134,040.00
Structure: 110
Geographic Specific Pay Structure: Structure 115