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
- Complete requests including money market movement, new accounting opening, funding for our centralized services subscribers
- 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
- Participating in all firm-wide leadership meetings and development workshops
- Learning and gaining an understanding of the financial advisor role
What’s in it for you?
We believe in building a team that loves what they do and creating a work environment that supports long-term career growth. Accordingly, we provide a rewarding compensation package that includes:
- Annualized salary range $90,000-$110,000 based on experience
- Full benefits - medical, dental, vision, FSA
- 3% automatic (safe harbor) 401k contribution
- Employer-sponsored licensing, professional development, and education opportunities
- Competitive PTO and 11 paid holidays
- Parking/transportation stipend
Qualifications:
- Ability to obtain Series 7, Series 9, Series 10, and Series 63 registrations within 4 months. Series 7, 24, 4, 53, and 63 may be considered in lieu of Series 7, 9/10, and 63
- Active Life/Health licenses, or the ability to obtain within 1 month
- 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