DIRECTOR OF SUPERVISION JOB DETAILS:

Job Type: Full-time

Number of hires for this role: 1

What will you do in this role?

The Director of Supervision supports the Managing Partner in shaping the culture of compliance in the office. You’ll be responsible for developing the supervision strategy and risk management approach for the office. You’ll be a member of the leadership team and will be a trusted compliance advisor to representatives within the office. You’ll draw from personal experiences to inform your work, evaluate risk, and anticipate needs of the office. Finally, you’ll bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate and lead others.

Duties of the role include the following:

• Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems

• Complete on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff

• Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA

• Provide a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements

• Develop supervisory plans to address non-standard behavior or to address sales practice concerns

• Help set the strategic direction of the Local Network Office compliance program

• Train Financial Representatives and staff on compliance, regulatory, or related topics

Knowledge, Skills, Abilities:

• Active and valid FINRA Series 7, 9/10 and 63 registrations are required

• Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63

• Active Life/Health licenses, or the ability to obtain within 3 months.

• 5-7 years of industry experience with an emphasis in compliance/supervision

• Strong working knowledge of standard industry and regulatory policies and procedures

• Sound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendation

• Ability to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing them

• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills.

• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team.

• Strong written and oral communication skills

• Experience handling highly sensitive communications

What makes you a great fit for our team?

• Orientation toward working independently with minimal guidance

• Highly evolved communication and presentation skills across audiences and mediums

• Collaborates with other leaders and integrates compliance into network office priorities

• Skilled in listening, partnering, and advocating

• Strong relationship management skills with ability to adapt approach to different people

• Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes

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ABOUT NORTHWESTERN MUTUAL:

At Northwestern Mutual we believe that everyone deserves to ‘spend their lives living’ and that a strong financial plan is a cornerstone for ensuring that reality. Our teams of financial advisors across the nation embody these beliefs and are committed to helping clients reach their financial goals. With over 50% of American’s citing that their financial planning needs improvement, a career with Northwestern Mutual provides abundant opportunities to serve this growing need! In Colorado, especially, populations in our major cities are multiplying, which multiplies the need for our type of planning.

Recognized by FORTUNE as one of the "World's Most Admired" companies, Northwestern Mutual has been among the leaders in the financial services industry for over 165 years and has a proven track record of financial success.

RECENT AWARDS AND ACCOLADES:

▪ FORTUNE 90

▪ Unsurpassed Financial Strength with total company assets of $290 billion.

▪ 97% of policy owners stay year after year.

▪ Top 10 Independent Broker-Dealer. Financial Advisor Magazine. $162 billion client assets held or managed by Northwestern Mutual.

▪ The largest direct provider of life insurance in the US.

▪ 4.9 million total clients. ▪ Industry leader in total dividend payout with $6.5 billion.

▪ Best of the Springs by the Colorado Springs Gazette, 2021

▪ Best Places to Work for LGBTQ Equality by the Human Rights Campaign Foundation, 2022

▪ Military Friendly Employer Award, 2021

▪ Forbes’ Best Employers for Diversity, 2021

GIVING BACK:

▪ Proud Partner of Alex’s Lemonade Stand Foundation

▪ 500,000 hours of Children’s cancer research funded

▪ $445 million given back through Northwestern Mutual Foundation

▪ Locally: Children's Hospital Colorado, Citizen Soldier Connection, Ronald McDonald House Charities of Southern Colorado, Western Street Breakfast, the Pikes Peak or Bust Rodeo, & more!