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Enterprise Compliance Internship

Date: Nov 20, 2018

Location: Milwaukee, WI, 53202

At Northwestern Mutual, we believe relationships are built on trust. That our lives and our work matter. These beliefs launched our company nearly 160 years ago. Today, they're just a few of the reasons why people choose to build careers at Northwestern Mutual.

We're strong and growing. In a company with such a long and storied history, this may be the most exciting and important time to be a part of Northwestern Mutual. We're strong, innovative and growing.

We invest in our people. We provide opportunities for employees to grow themselves, their career and in turn, our business.

We care.  We make a positive difference in our communities. Nationally, thousands have benefitted from our support of research and programs to fight childhood cancer. Each year, our Foundation, employees and financial representatives donate time, talent and financial support to causes they're passionate about.


We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.


What's the role?


Northwestern Mutual Enterprise Compliance team delivers insightful and comprehensive solutions including creative design and implementation of compliance management systems, specialized skills training, and evaluation of existing systems and processes. The team focuses on the design, assessment, and transformation of the processes, controls, and infrastructure needed to mitigate the wide variety of federal and state regulatory and compliance risks the organization faces.  These complex requirements make it essential to have employees with a blend of curiosity and experience to meet regulatory challenges as well as provide training and instruction on current and future needs.

Internship Program Overview

This year-round internship opportunity is designed for highly motivated students who are fascinated and interested in the inner workings of a major financial services organization.  As an intern, you will have the opportunity to learn and experience the risk management practices at a Fortune 100 company and experience first-hand the work culture within a diverse and complex organization.  Your work will be customer focused - dedicated to meeting the expectations and requirements of internal and external customers alike. The quality of your decisions will be based upon a mixture of analysis, wisdom, experience, and judgment.  Through the use of rigorous logic and other methods you will learn to solve difficult problems and arrive at effective solutions.  Your interpersonal savviness will be challenged as you learn to relate to people at all different levels within the organization and build rapport for constructive and effective relationships.

In addition, you will…

  • Use compliance monitoring systems to facilitate follow-up with financial representatives and home office personnel to ensure compliance with company policies and regulations
  • Create standardized reports to identify trends in complaints, investigations, and regulatory reporting
  • Assist with review of required branch books and records, pre-work for field inspections, and provide support for regulatory examinations
  • Assist with updating existing policies and creating new ones
  • Review advertising, including social media content
  • Prepare and shadow regular field supervisory calls and local visits
  • Prepare to take Series 7 & 24 (company sponsored) as study hours are incorporated into your work day



Bring Your Best! What this role needs:


  • Sophomore or Junior actively pursuing an undergraduate degree in Finance, Accounting, Management or other business-related majors
  • Minimum 3.0 GPA and be in good academic standing
  • Strong interpersonal skills coupled with the ability to work independently as well as in a team environment
  • Excellent organization, time management, and attention-to-detail; capable of winning concessions without damaging relationships
  • Solid analytical, problem-solving, and decision-making skills; and can effectively cope with change
  • Demonstrated expertise in MS Office
  • Commitment to an internship that lasts for approximately two years, including part-time during the school year
  • Desired but not required: Securities Industry Essentials (SIE) Exam completed




Req ID: 24327
Position Type: Internship
Education Experience: Other
Employment Experience: 0-2 years
FLSA Status: Non-Exempt
Posting Date: 11/16/2018