Gwen Weithaus

Director, Retirement Markets Compliance 

  • Company:Northwestern Mutual
  • Short Bio:Gwen Weithaus is the Director, Retirement Markets Compliance for Northwestern Mutual. She has primary responsibility for the development, implementation, and management of effective compliance programs for the retirement market to mitigate compliance and regulatory. Currently, she is Northwestern Mutual’s Department of Labor (DOL) Fiduciary Rule project business sponsor. 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, and 26 registrations She graduated from the University of Wisconsin – Oshkosh with a Bachelor of Business Administration with an emphasis in Finance & Marketing and a March 2017 graduate of the SIFMA Securities Industry Institute, a premier executive development program for securities industry professionals, held at the Wharton School of University of Pennsylvania. She is a Board member of National Society of Compliance Professionals (NSCP) and Meetings Committee Chairperson. In addition, she also serves on the Hamilton Education Foundation (HEF) Board, a non-profit organizing advancing educational opportunities for students for students in the Hamilton School District. She also is Girl Scout co-leader for two Girl Scouts of Wisconsin Southeast troops.
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