Financial/Securities/Insurance Compliance Manager
Job in
Campbell, Santa Clara County, California, 95011, USA
Listed on 2026-01-12
Listing for:
Northwestern Mutual
Full Time
position Listed on 2026-01-12
Job specializations:
-
Management
Regulatory Compliance Specialist, Risk Manager/Analyst -
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Financial/Securities/Insurance Compliance Manager
2 days ago Be among the first 25 applicants
Northwestern Mutual – San Jose is seeking an experienced Compliance Officer/Manager to lead its culture of compliance. The role implements proactive strategies and risk management methods when working with a large group of financial advisors and the leadership team, with oversight of the financial planning process including investment transactions, insurance products, SEC/FINRA books and records, and the implementation of company policies.
Basepay range
$/yr - $/yr
Additional compensation typesAnnual Bonus
Responsibilities- Develops and administers well-defined procedures & processes to assure planning and sales practices of firm’s members comply with all laws, regulations, and company policies
- Supervises and monitors sales practices through supervisory systems, reviews and consultations of financial advisors
- Reviews securities transactions for suitability
- Maintains oversight of investment products, insurance products, including annuities and other variable product sales
- Addresses ongoing issues and trends and patterns with advisors
- Approves new accounts, money movement, trade corrections, share class conversions, wire transfers, journal authorizations, etc.
- Maintains recordkeeping and reporting per company guidelines
- Manages compliance logs and physical securities review
- Provides compliance training and regular communications to the Network Office
- Meets with the Managing Partner to report on the supervision climate of the network office
- Regularly scheduled meetings with leadership team to report and discuss ways to best support advisors
- Conducts training and education on compliance
- Develops relationships with advisors and teams to assist and promote compliance culture in their practice
- Works close with corporate office compliance team identify areas of opportunity and concerns
- Administers all registered persons complete Firm Element continuing education
Salary depending on level of compliance experience; with bonus program based on KPI’s.
Seniority level- Mid-Senior level
- Full-time
- Other
- Financial Services and Insurance
- 401(k)
- Medical insurance
- Vision insurance
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