About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
10/17/2025
Full time
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
10/08/2025
Full time
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
10/07/2025
Full time
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
10/07/2025
Full time
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
10/05/2025
Full time
About the Job: The Enterprise AML Officer leads the Anti-Money Laundering (AML) Team in Northwestern Mutual's Enterprise Compliance Department and is responsible for leading the development, implementation, and maintenance of the company's AML and sanctions compliance programs. The role currently serves as the AML Officer for The Northwestern Mutual Life Insurance Company (NM) and its operating subsidiaries Northwestern Mutual Investment Services, LLC (NMIS) (registered broker-dealer), Northwestern Mutual Wealth Management Company (WMC) (limited purpose federal savings bank), and Northwestern Mutual Series Fund, Inc. (NMSF) (registered investment company). The AML Officer ensures the adequacy and effectiveness of compliance policies, procedures, monitoring and controls established to comply with AML and sanctions obligations. What You'll Do: Coordinate and manage the enterprise AML policies, procedures and controls to ensure compliance by NM and its operating subsidiaries with applicable AML laws and regulations, including but not limited to Bank Secrecy Act, customer identification program (CIP), customer due diligence (CDD), OFAC sanctions and anti-terrorism funding, and other applicable laws and regulations. Monitor applicable laws and regulatory trends to ensure the ongoing sufficiency of the AML and sanctions compliance programs. Review and assess compliance testing, audit and examination findings and oversee the implementation of changes, enhancements or best practices to address them. Evaluate enterprise-wide AML risk and advise on the proper allocation of AML resources. Oversee the investigation and resolution of AML matters. Facilitate coordination of AML business and risk partners across the enterprise to ensure consistency and cooperation in assessing and addressing AML risk. Responsible for overseeing the monitoring of insurance and securities transaction activity, watch list screening, customer risk ranking, transaction monitoring threshold tuning, and data integrity testing to effectively identify suspicious activity and meet regulatory obligations. Implements corrective procedures and action plans to enhance controls. Ensure AML and sanctions-related reporting obligations are satisfied, including but not limited to suspicious activity reports (SAR), OFAC blocked property reports, and other required AML and sanctions-related regulatory reporting. Coordinate major cross-departmental projects that impact the organization and business processes to effectively implement project deliverables related to AML risk management. Responsible for ensuring the development and delivery of AML training content to manage AML risk and meet regulatory requirements for home office and field personnel. Oversee certain functions performed by NMIS' clearing firm. Consult with NM and operating subsidiary personnel and the company's field representatives regarding AML-related topics, training, updates and/or alerts. Review, assess and report on the AML and sanctions compliance programs of external asset managers hired by NM and affiliates to manage assets. Respond to regulatory exam requests regarding the AML program, including interviews with the examiners. Prepare written annual compliance reports to applicable governance bodies regarding the operation and health of the AML and sanctions programs. Chair the Enterprise AML Committee and the AML Executive Committee. Participates on various divisional, departmental, and enterprise-wide projects and committees as needed. As a team leader, this position is responsible for managing a team to achieve company and department goals, supporting team development, and executing team responsibilities. Key duties include setting clear objectives, providing feedback, fostering a collaborative work environment, coordinating tasks, setting priorities and allocating resources, and ensuring team members have the necessary support. The role also involves monitoring performance, addressing conflicts, and implementing continuous improvement strategies to build a motivated, high-performing team that consistently meets or exceeds expectations. What You'll Bring to the Role: Bachelor's Degree Knowledge of the Bank Secrecy Act, USA Patriot Act, and related rules and regulations of FinCEN, the SEC and FINRA, federal banking regulators, and state insurance regulators, as applicable. FINRA Series 7 and 9/10 or 24 Minimum of 10 years of progressively responsible work experience in securities operations and/or compliance. In-depth understanding of AML regulations and statutes relating to risk and investment products, investment management and trust services. Knowledge of insurance, securities, and advisory products, services and operations. Demonstrated strong leadership, decision-making and written and verbal communication skills. Demonstrated ability to design and implement systems to monitor transactions and trends to identify AML and sanctions risks. Demonstrated ability to use data analytics to make risk aware decisions. Ability to effectively communicate requirements to, negotiate with, and influence others across departmental lines within the organization and members of field management. Certified Anti-Money Laundering Specialist (CAMS) designation required or obtained within 6 months of hire. Skills You Have: Project Management - Advanced Accountability - Advanced Attention to detail - Expert Cross-Functional Partnering & Planning - Expert Policy & Procedure - Expert Risk Assessment & Identification - Expert Business Influence - Advanced Continuous Improvement - Expert Decision Making - Expert This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 10 - FINRA, Series 24 - FINRA, Series 7 - FINRA, Series 9 - FINRA Compensation Range: Pay Range - Start: $112,210.00 Pay Range - End: $208,390.00 Geographic Specific Pay Structure: 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. 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 PandoLogic. Category:Finance,
Purpose of Job This role will be located in the Home Office in San Antonio, or at one of our regional offices/remote with frequent travel to the Home Office. Responsible for leading the Anti-Money Laundering (AML) Bank Secrecy Act (BSA) programs to deliver quality and ongoing sustainability of operational functions to include Financial Investigations, Know Your Customer, and OFAC. Oversight of and maintains a governance program, including policies, procedures, and controls to effectively manage the risk of money laundering arising from USAA's operations, and setting and implementing the strategic direction for USAA Federal Savings Bank ("FSB"), USAA Savings Bank ("USB") (collectively "Banks"), P&C, LifeCo, and the overall Enterprise. Sets the standards and provides guidance and support across USAA around member onboarding, due diligence, transaction monitoring, and screening activities for compliance with anti-money laundering and sanctions expectations and related regulatory requirements to ensure deliverables align to USAA and regulatory requirements. Job Requirements Managerial Responsibilities * Leads the design and implementation of the Anti-Money Laundering (AML) Compliance risk management strategies, taking into account business strategy and nuanced supervisory expectations, including how they apply in a matrixed commercial environment. * Oversees teams responsible for regulatory, complex, and critical issues covering USAA as related to the Bank Secrecy Act (BSA)/AML regulatory requirements as well as key enterprise functions. * Exemplifies USAA's mission, core values, culture and desired behaviors - including a culture of compliance risk management. * Develops talent to deliver objectives aligned to the mission; including the identification, development, advancement and retention of talent with requisite compliance capabilities as well as providing leadership and overseeing performance management and staff development activities. * Leads the operational planning of implementation of the AML program for the Bank and Enterprise-including core business processes and technologies. * Oversees execution of AML Compliance initiatives and projects across the banks and the enterprise. * Holds self and others Accountable for meeting commitments by setting and clearly communicating expectations, roles, and responsibilities to others relative to AML Compliance. * Responsible for funding, budgeting and execution of AML initiatives and projects across the businesses and legal entities. Technical and Risk Responsibilities * Responsible for overseeing and governing AML Compliance related activities and actions for the Banks' and the enterprise. * Provides independent oversight to risk management practices across AML Compliance activities. * Formulates and executes a multi-year strategy for a best-in-class AML Compliance program, including AML strategy and analytics across various financial products in the Banks' and various AML Compliance programs across the enterprise. * Identifies and assesses the Banks' AML inherent and control risk, incorporates the outcomes into strategy and risk management oversight practices, and reports the results to the bank board and senior management. * Reviews, addresses, and escalates significant AML issues and activities to Executive Council and/or the appropriate governance committee and its members. * Develops, communicates and reinforces the Banks' risk tolerance and risk appetite statement and associated limits related to AML activities, including how they apply to banking operations. * Monitors the Banks' adherence to AML-related policies and timely closure of AML-related issues and engages in ongoing communication with front line units regarding adherence to AML requirements. * Oversees the monitoring and analysis of AML-related trends, patterns, and external factors impacting the risk levels of the Banks' and communicates and provides recommendations. * Proactively manages relationship and communications with U.S. regulators and internal audit staff for AML Compliance matters, including management of examinations, audits, document production and issue responses. * Liaises with regulatory agencies and other internal control groups on AML related issues -- takes accountability for responding to Matters Requiring Attention (MRAs) and Matters Requiring Immediate Attention (MRIAs) issued by supervisory bodies. * Leads change management activities in connection with MRAs and/or broader regulatory changes. Governance Committees Interacts with or participates in enterprise governance committees, such as: * Bank Compliance Committee * Enterprise and Bank New Activities Approval Committee * USAA Financial Crimes Compliance Committee * Enterprise Compliance Risk Committee * Enterprise Information Governance Committee * Shared Services New Activities Approval Committee Education * Bachelor's degree is required. * Advanced degree such as MBA or Juris Doctorate (JD) is preferred. Experience * A minimum of 12 years of experience in technical discipline (e.g. AML compliance) with a proven track record leading comparable operations. Vast knowledge of the U.S regulatory environment with emphasis on the BSA, USA PATRIOT Act and OFAC programs is required. * A minimum of 8 years of people leadership experience in building, managing and/or developing high-performing teams is required. * Proven experience establishing, implementing and overseeing large financial institution(s) AML program * Extensive background in understanding, evaluating, and monitoring risks in adherence to policies * Demonstrated ability to communicate at all levels of an organization including Board of Directors and Committee members; must also have experience communicating with regulatory agencies * A minimum of 8 years of relevant experience in a large financial institution ($100 billion +), including 5+ years post-Dodd Frank, in a supervisory role as a regulator, in a senior role directly interacting with regulators, or in a senior staff role within an AML department is preferred. Regulatory Understanding* * Federal regulations and supervisory guidance: 12 CFR Part 30, including Appendices A through E * 12 CFR 9 - Bank Fiduciary Activities * Federal Reserve Supervisory Guidance Documents: * SR 08-08 (Compliance Risk Management Programs) * Bank Holding Company Examination Manual * Federal Reserve proposals concerning Board effectiveness and core principles of effective senior management, management of business lines, and independent risk management and controls * OCC Supervisory Guidance Documents: Large Bank Supervision Handbook; Corporate and Risk Governance Handbook; and key OCC bulletins (New Products and Services Risk Management; Third Party Risk Management) * FFIEC: BSA/AML Manual; IT/Cyber Handbooks * CFPB: Consumer Protection Regulations; UDAAP * Regulatory understanding is for illustrative purposes. Roles would need an understanding of all federal and state laws and regulatory guidance applicable to the organization and responsibilities of the role. Note: The above statements are intended to describe the general nature and level of work being performed by employees in this position. They are not intended to be an exhaustive list of all duties, responsibilities and qualifications of employees assigned this job. Certifications Industry certification such as Certified Anti-Money Laundering Specialist (CAMS) is preferred. Compensation: USAA has an effective process for assessing market data and establishing ranges to ensure we remain competitive. You are paid within the salary range based on your experience and market position. The salary range for this position is $312,600- $562,900. Employees may be eligible for pay incentives based on overall corporate and individual performance or at the discretion of the USAA Board of Directors. Long Term Incentive Plan: Cash payment for Executive level roles only, representing a cash payment which is both time and performance based. Stipend: As an EMG Member, you will receive an annual stipend (amounts determined by level) which will be paid in quarterly installments. Medical Stipend: As a Senior Officer, you will receive an Annual Medical Stipend for you and your spouse Benefits: At USAA our employees enjoy best-in-class benefits to support their physical, financial, and emotional wellness. These benefits include comprehensive medical, dental and vision plans, 401(k), pension, life insurance, parental benefits, adoption assistance, paid time off program with paid holidays plus 16 paid volunteer hours, and various wellness programs. Additionally, our career path planning and continuing education assists employees with their professional goals. Please click on the link below for more details. USAA Total Rewards THIS POSTING WILL BE AVAILABLE TO INTERNAL CANDIDATES UNTIL 11:59PM ON SUNDAY, MARCH 14
03/24/2021
Full time
Purpose of Job This role will be located in the Home Office in San Antonio, or at one of our regional offices/remote with frequent travel to the Home Office. Responsible for leading the Anti-Money Laundering (AML) Bank Secrecy Act (BSA) programs to deliver quality and ongoing sustainability of operational functions to include Financial Investigations, Know Your Customer, and OFAC. Oversight of and maintains a governance program, including policies, procedures, and controls to effectively manage the risk of money laundering arising from USAA's operations, and setting and implementing the strategic direction for USAA Federal Savings Bank ("FSB"), USAA Savings Bank ("USB") (collectively "Banks"), P&C, LifeCo, and the overall Enterprise. Sets the standards and provides guidance and support across USAA around member onboarding, due diligence, transaction monitoring, and screening activities for compliance with anti-money laundering and sanctions expectations and related regulatory requirements to ensure deliverables align to USAA and regulatory requirements. Job Requirements Managerial Responsibilities * Leads the design and implementation of the Anti-Money Laundering (AML) Compliance risk management strategies, taking into account business strategy and nuanced supervisory expectations, including how they apply in a matrixed commercial environment. * Oversees teams responsible for regulatory, complex, and critical issues covering USAA as related to the Bank Secrecy Act (BSA)/AML regulatory requirements as well as key enterprise functions. * Exemplifies USAA's mission, core values, culture and desired behaviors - including a culture of compliance risk management. * Develops talent to deliver objectives aligned to the mission; including the identification, development, advancement and retention of talent with requisite compliance capabilities as well as providing leadership and overseeing performance management and staff development activities. * Leads the operational planning of implementation of the AML program for the Bank and Enterprise-including core business processes and technologies. * Oversees execution of AML Compliance initiatives and projects across the banks and the enterprise. * Holds self and others Accountable for meeting commitments by setting and clearly communicating expectations, roles, and responsibilities to others relative to AML Compliance. * Responsible for funding, budgeting and execution of AML initiatives and projects across the businesses and legal entities. Technical and Risk Responsibilities * Responsible for overseeing and governing AML Compliance related activities and actions for the Banks' and the enterprise. * Provides independent oversight to risk management practices across AML Compliance activities. * Formulates and executes a multi-year strategy for a best-in-class AML Compliance program, including AML strategy and analytics across various financial products in the Banks' and various AML Compliance programs across the enterprise. * Identifies and assesses the Banks' AML inherent and control risk, incorporates the outcomes into strategy and risk management oversight practices, and reports the results to the bank board and senior management. * Reviews, addresses, and escalates significant AML issues and activities to Executive Council and/or the appropriate governance committee and its members. * Develops, communicates and reinforces the Banks' risk tolerance and risk appetite statement and associated limits related to AML activities, including how they apply to banking operations. * Monitors the Banks' adherence to AML-related policies and timely closure of AML-related issues and engages in ongoing communication with front line units regarding adherence to AML requirements. * Oversees the monitoring and analysis of AML-related trends, patterns, and external factors impacting the risk levels of the Banks' and communicates and provides recommendations. * Proactively manages relationship and communications with U.S. regulators and internal audit staff for AML Compliance matters, including management of examinations, audits, document production and issue responses. * Liaises with regulatory agencies and other internal control groups on AML related issues -- takes accountability for responding to Matters Requiring Attention (MRAs) and Matters Requiring Immediate Attention (MRIAs) issued by supervisory bodies. * Leads change management activities in connection with MRAs and/or broader regulatory changes. Governance Committees Interacts with or participates in enterprise governance committees, such as: * Bank Compliance Committee * Enterprise and Bank New Activities Approval Committee * USAA Financial Crimes Compliance Committee * Enterprise Compliance Risk Committee * Enterprise Information Governance Committee * Shared Services New Activities Approval Committee Education * Bachelor's degree is required. * Advanced degree such as MBA or Juris Doctorate (JD) is preferred. Experience * A minimum of 12 years of experience in technical discipline (e.g. AML compliance) with a proven track record leading comparable operations. Vast knowledge of the U.S regulatory environment with emphasis on the BSA, USA PATRIOT Act and OFAC programs is required. * A minimum of 8 years of people leadership experience in building, managing and/or developing high-performing teams is required. * Proven experience establishing, implementing and overseeing large financial institution(s) AML program * Extensive background in understanding, evaluating, and monitoring risks in adherence to policies * Demonstrated ability to communicate at all levels of an organization including Board of Directors and Committee members; must also have experience communicating with regulatory agencies * A minimum of 8 years of relevant experience in a large financial institution ($100 billion +), including 5+ years post-Dodd Frank, in a supervisory role as a regulator, in a senior role directly interacting with regulators, or in a senior staff role within an AML department is preferred. Regulatory Understanding* * Federal regulations and supervisory guidance: 12 CFR Part 30, including Appendices A through E * 12 CFR 9 - Bank Fiduciary Activities * Federal Reserve Supervisory Guidance Documents: * SR 08-08 (Compliance Risk Management Programs) * Bank Holding Company Examination Manual * Federal Reserve proposals concerning Board effectiveness and core principles of effective senior management, management of business lines, and independent risk management and controls * OCC Supervisory Guidance Documents: Large Bank Supervision Handbook; Corporate and Risk Governance Handbook; and key OCC bulletins (New Products and Services Risk Management; Third Party Risk Management) * FFIEC: BSA/AML Manual; IT/Cyber Handbooks * CFPB: Consumer Protection Regulations; UDAAP * Regulatory understanding is for illustrative purposes. Roles would need an understanding of all federal and state laws and regulatory guidance applicable to the organization and responsibilities of the role. Note: The above statements are intended to describe the general nature and level of work being performed by employees in this position. They are not intended to be an exhaustive list of all duties, responsibilities and qualifications of employees assigned this job. Certifications Industry certification such as Certified Anti-Money Laundering Specialist (CAMS) is preferred. Compensation: USAA has an effective process for assessing market data and establishing ranges to ensure we remain competitive. You are paid within the salary range based on your experience and market position. The salary range for this position is $312,600- $562,900. Employees may be eligible for pay incentives based on overall corporate and individual performance or at the discretion of the USAA Board of Directors. Long Term Incentive Plan: Cash payment for Executive level roles only, representing a cash payment which is both time and performance based. Stipend: As an EMG Member, you will receive an annual stipend (amounts determined by level) which will be paid in quarterly installments. Medical Stipend: As a Senior Officer, you will receive an Annual Medical Stipend for you and your spouse Benefits: At USAA our employees enjoy best-in-class benefits to support their physical, financial, and emotional wellness. These benefits include comprehensive medical, dental and vision plans, 401(k), pension, life insurance, parental benefits, adoption assistance, paid time off program with paid holidays plus 16 paid volunteer hours, and various wellness programs. Additionally, our career path planning and continuing education assists employees with their professional goals. Please click on the link below for more details. USAA Total Rewards THIS POSTING WILL BE AVAILABLE TO INTERNAL CANDIDATES UNTIL 11:59PM ON SUNDAY, MARCH 14
