Gwen Weithaus is the Vice President Investment Products and Services Risk & Controls for Northwestern Mutual. She has primary responsibility to direct the design, implementation and maintenance of a comprehensive risk management programs. She is accountable to implement new regulations impacting the company’s products and programs and leads the company’s Best Interest Standard of Care initiative.
She joined Northwestern Mutual in 2004, serving in various compliance roles supporting the broker dealer’s investment products, programs and services. In 2016 and 2017, she led a cross-enterprise team to implement solutions to comply with the Department of Labor Fiduciary Rule. This team ensured the company mitigated risk and meet significant regulatory expectations while allowing the firm to continue to meet the needs of retirement clients.
Prior to joining Northwestern Mutual, Ms. Weithaus was a Regulatory Consulting Manager with Deloitte. She also served as Compliance Director at Strong Investments; a Compliance Examiner with the Financial Industry Regulatory Agency (FINRA); and a Field Compliance Examiner with Aid Association for Lutherans (Thrivent Financial). Ms. Weithaus holds FINRA Series 6, 7, 24, 26, 51 and 53 registrations.
She graduated from the University of Wisconsin – Oshkosh with a Bachelor of Business Administration with an emphasis in Finance & Marketing. She is also a graduate of the SIFMA Securities Industry Institute Executive Leadership Development Program, held at the Wharton School at the University of Pennsylvania.
She currently is a Board member of National Society of Compliance Professionals (NSCP) and serves as the Meetings Committee Co-Chairperson. She also is a member of the Securities Industry/Regulatory Council on Continuing Education and several Securities Industry Financial Markets Association (SIFMA) Committees Previously, she served as Financial Services Institute (FSI) Compliance Council Chairperson and served for six years on the FSI Compliance Council. In addition, she serves on the Hamilton Education Foundation (HEF) Board, a non-profit organizing advancing educational opportunities for students for students in the Hamilton School District.