Director of Supervision

Northwestern Mutual • Houston, TX

2d • $117,300 - $176,700 • Onsite

About The Position

The Director of Supervision is a key member of the leadership team and serves as a trusted compliance advisor to Financial Representatives, field leaders, and staff. This role supports the Managing Partner by developing and executing the office’s supervision strategy, evaluating risk, overseeing investment and insurance-related activities, maintaining required books and records, and ensuring alignment with industry, regulatory, and company standards. The ideal candidate brings strong technical knowledge, sound judgment, relationship-building skills, and the ability to educate, influence, and lead in a highly regulated environment. This individual will be proactive, detail-oriented, collaborative, and committed to helping advisors and teams operate with integrity, efficiency, and confidence. This person is comfortable advising senior leaders, coaching advisors, navigating sensitive situations, and implementing processes that promote consistency, accountability, and trust. They bring enthusiasm for improving how work gets done, an eye for efficiency, strong relationship-management skills, and the ability to adapt quickly to regulatory, environmental, policy, and process changes.

Requirements

• 5+ years of compliance, supervision, or risk management, or a related financial services role.
• Strong working knowledge of securities, insurance, investment advisory, financial planning, industry regulations, and standard supervisor policies and procedures.
• Experience with branch examinations, audits, supervision systems, and regulatory requirements, and compliance monitoring processes.
• Demonstrated ability to lead, influence, advise, and communicate effectively in a highly regulated environment.
• Strong analytical, organizational, critical-thinking, and problem-solving skills.
• Ability to evaluate issues, identify trends, anticipate risk, and make sound recommendations using analysis, experience, and judgment.
• Excellent written, verbal, presentation, and interpersonal communication skills.
• Experience handling highly sensitive communications and confidential matters with discretion.
• Ability to work independently with minimal guidance while collaborating effectively with a broader leadership team.
• Active and valid FINRA Series 7 required.
• Active and valid FINRA Series 9/10 and Series 63 registrations required, or the ability to obtain required registrations as applicable.
• Active FINRA Series 24, 4, 53, and 63 registrations may be considered in lieu of Series 7, 9/10, and 63 where applicable.
• Active Life and Health licenses, or the ability to obtain them within three months.

Responsibilities

• Supervise investment, insurance, and sales practices to ensure compliance with firm, industry, and regulatory requirements.
• Review and address suitability flags related to transactions, correspondence, communications, and business trends.
• Review annuity and life insurance applications for suitability, completeness, and adherence to applicable standards.
• Review and approve trade corrections, escalated orders, non-sufficient funds, class conversions, and money movement transactions submitted prior to applicable deadlines.
• Identify, monitor, and escalate issues, trends, and potential sales practice concerns, including developing supervisory plans to address non-standard behavior or recurring risks.
• Perform reviews across multiple supervision and compliance systems, including flagged email and social media correspondence, transaction and trend supervision, and compliance monitoring platforms.
• Conduct on-site inspections, client file reviews, compliance interviews, as part of annual Financial Representative reviews.
• Maintain required books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
• Review and approve outside business activities, regulatory disclosures, personal securities accounts, and political contributions.
• Support the timely and accurate completion of compliance surveys, audits, regulatory reporting, and other required documentation.
• Provide consultative guidance to Financial Representatives, field staff, and office leadership on risk management, regulatory changes, policies, procedures, and documentation requirements.
• Serve as a principal delegate and trusted compliance advisor to the Managing Partner and leadership team.
• Build strong relationships with advisors and their teams to help integrate compliance into day-to-day practice management and broader network office priorities.
• Partner with field leaders to address ongoing issues, business trends, compensation structure considerations, and staff-related compliance matters.
• Train Financial Representatives, Associate Financial Representatives, staff, and leadership on compliance, regulatory, supervision, and risk management topics.
• Communicate regulatory changes, new rules, policy updates, and process expectations in a clear, practical, and timely manner.
• Ensure registered persons complete required Firm Element continuing education requirements.

Benefits

• Comprehensive medical coverage with employer contribution.
• Safe Harbor 401(k) with employer match.
• Annual discretionary bonus opportunity.
• Generous paid time off (PTO) and holiday pay.
• Employer-paid life and disability insurance.
• Dynamic career growth opportunities.
• Employer-sponsored licensing, professional development, and education opportunities.
• Flexible work arrangements, where applicable.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: No Education Listed