Investment Compliance Consultant
Core
Administers regulatory compliance programs for registered investment advisers and private funds, focusing on policy development, monitoring, reporting, and vendor oversight.
Role type
Investment Compliance Consultant
Builds
Compliance policies, regulatory filings, and monitoring reports for Northwestern Mutual's investment products.
Domain
Financial Services / Investment Management / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory compliance administration, risk management, data analysis, policy development, stakeholder communication, project management, attention to detail
Preferred skills
Experience with compliance testing, forensic analysis, process improvement
Technologies
Bloomberg, FIS Employee Compliance Manager, Portfolio Tracker, Micro Focus, truView, Microsoft Office (Word, Excel, Access, Power BI, PowerPoint)
Responsibilities
Assist in Rule 206(4)-7 compliance program administration; prepare regulatory filings (Forms ADV, PF); review marketing materials and disclosures; monitor account guidelines and electronic communications; oversee vendor due diligence; support compliance testing programs; manage code of ethics and personal trading policies; prepare compliance reports for boards.
Seniority
Mid-level, hands-on IC