Associate Director of Supervision

Northwestern Mutual - Greater Chicago•Skokie, IL

7h•$70,000 - $90,000•Onsite

About The Position

The Associate Director of Supervision helps shape a culture of compliance and works with the Supervision team to meet the firm's needs. This role supervises financial representatives and their employees regarding laws, regulations, and company rules related to insurance and securities sales practices. Candidates must already be fully licensed to perform the role. The Associate Director evaluates risk, interprets policies, and makes decisions; maintains and enforces written compliance procedures; oversees supervision systems and performs delegated supervisory tasks; and conducts compliance reviews of Financial Representatives. The role also maintains required books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations; supports Financial Representatives and staff on risk management, regulatory changes, policies, procedures, and documentation; builds relationships across the firm; and promptly investigates customer complaints.

Requirements

Must already hold Series SIE, 7, and 63 or 66 licenses.
Ability to obtain Illinois Life & Health, Series 9, and Series 10 licenses within 90 days of starting.
Proficiency in Microsoft Word, Excel, and PowerPoint.
Ability to maintain confidentiality.
Strong oral and written communication skills, clear presentation skills, good listening skills, and a customer- and team-focused approach.
Ability to multitask and an action-oriented personality.
Problem-solving ability, sound judgment, and ability to review facts and weigh options.
Ability to maintain high quality standards despite pressing deadlines; strong organizational skills and attention to detail.
Ability to adapt to a fast-paced, changing environment, think on one's feet, and demonstrate strong emotional intelligence.
At least 1 year of financial services experience.
Must relocate to Skokie, Illinois, before starting work.

Responsibilities

Evaluate risk, interpret policies, and make decisions.
Maintain and enforce written procedures designed to achieve compliance with applicable laws, regulations, and industry standards.
Oversee supervision systems and act as a Supervision delegate to execute supervisory tasks.
Conduct compliance reviews of Financial Representatives.
Maintain books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
Support Financial Representatives and staff on risk management, regulatory changes, policies and procedures, and documentation requirements.
Build and maintain strong relationships across the firm.
Investigate customer complaints promptly.