Senior Director, Risk & Compliance Oversight

Northwestern Mutual; Florham Park (NJ); On-site; USD 150,000 - 210,000; Full time

Job summary

Northwestern Mutual seeks a Director of Supervision to guide the office culture of compliance and lead risk management initiatives. You will shape supervision strategies, evaluate risk, and provide trusted guidance to Financial Representatives and staff.

You will collaborate with leadership to implement effective regulatory practices, review systems, and drive improvements across multiple locations, including travel for audits and inspections.

Qualifications

• Active and valid FINRA registrations required.
• Life/Health licenses or ability to obtain within 3 months.
• 5+ years in compliance/supervision.
• Strong knowledge of regulatory policies and procedures.
• Experience with risk management and supervisory programs.

Responsibilities

• Perform review and supervision of systems including email, social media, transactions and monitoring.
• Complete on-site inspections, client file reviews, and compliance-related interviews; travel to other branches.
• Maintain books and records for FINRA-regulated offices and locations.
• Provide consultative advice on risk management, regulatory changes, policies, and documentation requirements.
• Develop supervisory plans addressing non-standard behavior or sales practice concerns.
• Help set the strategic direction of the Local Network Office compliance program.
• Train Financial Representatives and staff on compliance topics.

Skills

Regulatory risk management

Compliance leadership

Desicion-making

Analytical thinking

Attention to detail

Strong communication

Team collaboration

Education

FINRA Series 7, 9/10 and 63 registrations

FINRA Series 7, 24, 4, 53, and 63 registrations

Life/Health licenses or ability to obtain in 3 months

Job description

Northwestern Mutual seeks a Director of Supervision to guide the office culture of compliance and lead risk management initiatives. You will shape supervision strategies, evaluate risk, and provide trusted guidance to Financial Representatives and staff.

You will collaborate with leadership to implement effective regulatory practices, review systems, and drive improvements across multiple locations, including travel for audits and inspections.