Compliance Specialist (Supervision Specialist)

Job overview

The Compliance Specialist (Supervision Specialist) role is onsite in Minneapolis, MN. Compensation is $60,000 per year, with an additional $5,000 after successful completion of the SIE, Series 7, Series 63, and state life, accident, and health insurance license requirements, and another $5,000 after Series 9 and Series 10 completion. Northwestern Mutual–Minneapolis supports financial planning, insurance, and wealth management for businesses and individuals. The specialist supports the Network Office’s supervision strategy and risk management by monitoring compliance, documenting reviews, researching potential issues, and communicating risks to Field Supervisors. The role helps protect business integrity and regulatory compliance while developing expertise toward a potential Field Supervisor career path.

What you'll do

• Assist Field Supervisors in monitoring operational, sales, and service activities for compliance with laws, regulations, and company policies
• review supervisory reports, inspections, and interviews
• escalate potential concerns
• research and assist with investigations
• maintain records of reviews and outcomes
• support books-and-records requirements
• recommend and support corrective actions and process improvements
• develop expertise in FINRA, SEC, AML, state insurance and securities regulations
• complete required training
• and travel locally in Minnesota as required, with minimal out-of-state travel as needed.

What we're looking for

Skills & competencies

compliance specialist

supervision specialist

northwestern mutual

minneapolis mn

onsite

full-time

financial services

regulatory compliance

risk management

finra

sec

aml

series 7

local travel

Work arrangement

• Weekend coverage required

Why this role

The posting requires SIE, Series 7, Series 63, and resident-state life insurance licensing or ability to obtain them within 180 days of hire; Series 9 and Series 10 are required within 270 days. The job title may be reflected as Supervision Specialist.

About the employer

Northwestern Mutual is hiring for this role. Industry: Direct Life Insurance Carriers. Sector: 52.