Director of Supervision & Investment Operations

Northwestern Mutual – Hawaii is adding a new member to its leadership team, charged with building and leading the compliance and investment operations functions. With significant growth on the horizon, this leader will work with the Managing Partner to develop and implement the supervision strategy and risk management approach, and serve as a trusted compliance advisor to our representatives.

The ideal candidate brings an enthusiasm for new ways of working, an eye for efficiency, and a consultative approach to problem-solving.

Key Responsibilities:

• Build and lead office administration and service support functions for investment operations, identifying process improvements to enhance productivity
• Perform compliance review and supervision of multiple systems
• Develop supervisory plans to address non-standard behavior or to address sales practice concerns
• Train Financial Representatives and staff on compliance and regulatory topics, and investment operations fundamentals
• Play a consultative and advisory role to Financial Representatives and field staff, related to risk management, regulatory change, policies and procedures, and documentation requirements

Qualifications:

• Active and valid FINRA Series 7 required, with 9/10 and 63 registrations obtained within 3 months. Active and valid FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63
• Active Life/Health licenses, or the ability to obtain within 3 months
• 5-7 years of industry experience with an emphasis in operations management or compliance/supervision
• Strong working knowledge of standard industry and regulatory policies and procedures
• Sound decision-making skills; ability to use a mixture of analysis, experience, and judgment to arrive at a conclusion or recommendation
• Ability to identify issues, trends, and potential sales practices issues with the purpose of escalating or addressing them
• Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills
• Ability to prioritize workload and seek support when appropriate, as well as work within a larger team
• Strong written and oral communication skills
• Experience handling highly sensitive communications