Senior Director of Compliance & Supervision

OMNI Human Resource Management; Houston (TX); On-site; USD 117,000 - 177,000; Full time

Benefits offered by this job

Medical coverage

401(k) with employer match

Annual bonus opportunity

Paid time off

Licensing & professional development

Flexible work arrangements

Job summary

Northwestern Mutual Houston is seeking a Director of Supervision to lead the office's compliance program, supervise investment and insurance practices, and ensure adherence to FINRA and industry regulations. The role requires strong leadership, risk assessment, and communication with senior management and field teams.

The position is full-time in Houston, TX, with responsibilities spanning policy enforcement, training, audits, and ongoing evolution of supervisory processes to protect clients and

Qualifications

• 5+ years in compliance, supervision, or risk management.
• Strong knowledge of securities, insurance, and investment advisory regulations.
• Experience with FINRA and regulatory examinations.
• Proven ability to lead and advise in a regulated environment.
• Excellent written and verbal communication.
• Ability to manage confidential information discreetly.

Responsibilities

• Supervise investment, insurance, and sales practices for compliance.
• Review suitability flags and trade-related documents.
• Oversee reviews across supervision systems and regulatory reporting.
• Provide consultative guidance to Financial Representatives and leadership.
• Train staff on compliance and regulatory changes.
• Support field leaders with policy maintenance and risk management.

Skills

Compliance

Risk management

Regulatory oversight

Leadership

Communication

Audit & controls

Job description

Northwestern Mutual Houston is seeking a Director of Supervision to lead the office's compliance program, supervise investment and insurance practices, and ensure adherence to FINRA and industry regulations. The role requires strong leadership, risk assessment, and communication with senior management and field teams.

The position is full-time in Houston, TX, with responsibilities spanning policy enforcement, training, audits, and ongoing evolution of supervisory processes to protect clients and