Sr Director Compliance Systems

About the Job:

Leads enterprise Compliance Systems and Strategic Advisory capabilities, overseeing compliance surveillance systems, data and analytics, and complex compliance programs. Responsible for the strategy, design, delivery, and effectiveness of compliance technology and advisory initiatives that support regulatory monitoring, risk mitigation, and enterprise decision making across Life, NMIS, and Wealth Management businesses.

What You'll Do:

• Owns the strategy, development, and effectiveness of enterprise compliance surveillance systems and data & analytics programs.

• Provides seniorlevel compliance technology and program advisory to Compliance Leadership and business partners, translating regulatory expectations into scalable systems, processes, and programs.

• Leads cross enterprise initiatives addressing sales practices monitoring, regulatory risk, and compliance program maturity, operating effectively in environments with ambiguity and evolving regulatory guidance.

• Oversees enterprise priorities including ecommunications monitoring, trade monitoring, and data governance to ensure regulatory readiness and consistent execution.

• Proactively identifies compliance risks, monitoring gaps, and system deficiencies through data driven insights and advisory engagement.

What You'll Bring to the Role:

• Bachelor’s degree required; advanced degree or relevant certifications preferred.

• Extensive experience in compliance, risk management, compliance technology, analytics, or related regulatory functions.

• Demonstrated leadership of complex, enterprise wide programs and systems with significant regulatory impact.

• Proven ability to operate at a senior leadership level, influencing outcomes across multiple business lines.

Skills You'll Have:

• Business Influence: Collaborates, communicates and influences direct reports, stakeholders, and other business functions based on understanding of the marketplace, organizational needs, and the client as a people manager.

• Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.

• Decision Making: Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.

• Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.

• Project Management: Delivers projects in alignment to business requirements, specific success criteria, and stakeholder expectations. Plans, manages, and completes projects keeping cost and time considerations in mind.

• Talent Development & Planning: Develops direct reports’ skills based on organizational objectives, evaluates skill gaps, and manages succession planning to develop more capable direct reports, diverse, strong teams and better organizational performance in an equitable and inclusive manner.

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#LI-Hybrid

Compensation Range:

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Geographic Specific Pay Structure:

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We believe in fairness and transparency. It’s why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you’re living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!

Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

Skills

Strategic Vision & Planning (NM) - Expert, Decision Making (NM) - Expert, Continuous Improvement (NM) - Expert, Project Management (NM) - Advanced, Talent Development & Planning (NM) - Expert, Accountability (NM) - Expert, Cross Functional Partnering & Planning (NM) - Expert, Attention to Detail (NM) - Expert, Policy & Procedure (NM) - Expert, Risk Assessment & Identification (NM) - Expert, Business Influence (NM) - Expert

FIND YOUR FUTURE

We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups