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Regulatory Compliance Specialist

Sales Practices Compliance Lead & Investigations Expert

Job in Milwaukee, Milwaukee County, Wisconsin, 53244, USA
Listing for: Northwestern Mutual
Apprenticeship/Internship position
Listed on 2026-01-15
Job specializations:
  • Business
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services company is seeking a Sales Practices Consultant in Milwaukee, WI. The role involves resolving complex sales practice complaints, leading investigations, and providing guidance on compliance matters. Candidates should have over 6 years of experience, preferably in financial services or investment sectors, and must obtain FINRA SIE, Series 7 & 24 within 6 months. A strong ability to navigate difficult conversations and conflicts is essential.

Competitive pay and flexible schedules offered.
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