Assistant Director – Interim Supervision Support
Northwestern Mutual
full-time
Posted on:
Location Type: Hybrid
Location: Milwaukee • Wisconsin • United States
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Salary
💰 $108,160 - $162,240 per year
Job Level
About the role
- Manage network office support engagements, including serving as the primary contact and relationship with office leadership and the lead field supervisor for offices
- Partner with and support Managing Partners in shaping strong supervision and compliance cultures within their offices
- Work effectively with home office business partners at all levels of the organization as needed to support network offices optimally and share insights
- Resolve complex and non-standard supervision issues, communicating effectively to ensure alignment
- Deliver closeout analysis and consultation to Managing Partners and home office partners at the conclusion of support engagements
- Identify and communicate insights and best practices across home office and field supervision teams
- Perform daily supervision tasks, including more complex and non-standard supervision work such as supervision plan management and documentation, supervision of higher complexity OBAs, handling of client complaints and contact
- Execute proactive training as needed for Financial Representatives and staff on compliance, regulatory, or related topics
Requirements
- Bachelor's degree or equivalent combination of education and experience
- FINRA Series 7, 9/10, and 63 registrations are required
- Active Life/Health licenses, or the ability to obtain within 3 months
- Significant experience as a leader in the supervision space and performing supervision duties, or in consulting to distribution leaders on compliance and supervision, ideally within the Northwestern Mutual system
- Strong communication skills and ability to handle highly sensitive communications and deliver feedback and difficult messages
- Proven ability to identify issues, trends, and potential sales practice concerns with the purpose of escalating or addressing them
- Profound decision-making skills, ability to use a mixture of analysis, experience, and judgement to assess risk, navigate ambiguity, and arrive at a conclusion or recommendation
- Strong leadership presence and proven ability to cultivate relationships, work effectively with people at all levels in an organization, and influence change with interpersonal savvy
- Financial services industry acumen; extensive working knowledge of standard industry and regulatory policies and procedures; and broad knowledge of Northwestern Mutual compliance systems, business models, and operational workflows.
Benefits
- Health insurance
- 401(k) matching
- Paid time off
- Professional development opportunities
- Remote work options
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
supervision plan managementdocumentationcomplianceregulatory topicsanalysisrisk assessmentissue identificationtrend analysissales practice concernsclient complaint handling
Soft Skills
communication skillsdecision-makingrelationship cultivationinterpersonal savvyinfluencing changeleadership presenceproblem-solvingconsultingfeedback deliverynavigating ambiguity
Certifications
Bachelor's degreeFINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 63Life licenseHealth license