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Compliance Associate
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Job Description

Northwestern Mutual Northern Ohio is searching for a qualified Compliance Associate.

Fast paced firm with a great growth opportunity for someone with experience in the financial services industry.

Job located in Cleveland, Ohio.

The Compliance Officer is a strategic partners to our Financial Advisors to help them maintain a compliant Financial Planning Practice. The supervisor monitors compliance with respect to laws and regulations of various agencies including FINRA, SEC, MSRB, and State Securities or Insurance Commissioners .

Competitive salary and full benefits package!

The following qualifications, FINRA registrations and state insurance licenses preferred:

1. Bachelor's Degree

2. FINRA Series 7

3. State Life/Health License

*Series 7/63 along with State Life/Health License required to apply. Additional supervision registrations (Series 9 and 10) will be required shortly after hire.*


Applicants must be eligible to work in the specified location

About Northwestern Mutual Financial Network

The Northwestern Mutual Life Insurance Company - Milwaukee, WI (Northwestern Mutual) has helped clients achieve financial security for more than 150 years. Northwestern Mutual and its subsidiaries offer a holistic approach to financial security solutions including: life insurance, long-term care insurance, disability insurance, annuities, investment products, and advisory products and services. Subsidiaries include Northwestern Mutual Investment Services, LLC, broker-dealer, registered investment adviser, member FINRA and SIPC; the Northwestern Mutual Wealth Management Company, limited purpose federal savings bank; and Northwestern Long Term Care Insurance Company.

This company profile was created by AfterCollege and is about Northwestern Mutual Financial Network. This page is not endorsed by or affiliated with Northwestern Mutual Financial Network. For questions regarding company profiles, please email: care@aftercollege.com.