What are the responsibilities and job description for the Associate Director, Compliance & Supervision position at Northwestern Mutual, Kansas & West Missouri?
Lead Compliance. Strengthen Supervision. Drive Results.
We're seeking an experienced Assistant Director of Network Office Supervision (ADNOS) to help ensure regulatory compliance, support financial representatives, and strengthen supervisory practices across our network. This role is ideal for a collaborative leader who thrives in a fast-paced environment and is passionate about risk management, coaching, and operational excellence.
What you will do.
- Oversee supervision of securities and insurance activities to ensure compliance with FINRA, SEC, MSRB, and company policies.
- Monitor sales practices, conduct representative reviews, and address compliance concerns.
- Serve as a registered principal for securities transactions.
- Provide training, guidance, and support to financial representatives and staff.
- Identify, mitigate, and resolve compliance and operational risks.
- Partner with leaders and home office teams to improve supervisory processes and drive best practices.
What You'll Bring
- 1-5 years of experience in securities supervision, compliance, or operations.
- FINRA registrations: Series 7, 9/10, and 63 (or equivalent principal registrations).
- State Life & Health Insurance License.
- Strong leadership, communication, coaching, and problem-solving skills.
- Ability to lead through ambiguity, build relationships, and balance strategic thinking with execution.
Why Join Us?
This is an opportunity to play a critical leadership role in protecting our clients, supporting our advisors, and helping shape a culture of compliance, accountability, and growth. If you're a proactive leader who enjoys developing others and driving meaningful business impact, we'd love to hear from you.
Pay: $70,000.00 - $85,000.00 per year
Benefits:
- Dental insurance
- Employee discount
- Health insurance
- Health savings account
- Life insurance
- Paid time off
License/Certification:
- FINRA registration: Series 7, 9/10, and 63 (Required)
Work Location: In person
Salary : $70,000 - $85,000