Associate Director of Supervision

Job overview

The Associate Director of Supervision role is onsite in Skokie, IL, with pay of $70,000–$90,000 per year. The role supports the Supervision team’s work to shape a culture of compliance in the office. The associate director supervises financial representatives’ and employees’ insurance and securities sales practices, applying company rules and regulatory requirements while managing risk, reviews, records, and complaint investigations.

What you'll do

• Evaluate risk and interpret policies
• maintain and enforce written compliance procedures
• oversee supervision systems and execute supervisory tasks
• conduct compliance reviews of financial representatives
• maintain required books and records
• support representatives and staff on risk management and regulatory changes
• build firm relationships
• and investigate customer complaints promptly.

What we're looking for

Skills & competencies

associate director of supervision

financial services

compliance

securities sales practices

insurance sales practices

finra records

skokie il

northwestern mutual

$70k–$90k/year

series 7

series 63 or 66

onsite

Work arrangement

• Weekend coverage required

Benefits & perks

• 401(k) and matching
• dental, health, and vision insurance
• disability and life insurance
• employee assistance program
• paid time off.

Why this role

Must already hold SIE and Series 7 and 63 or 66 licenses; must be able to obtain Illinois Life and Health and Series 9 and 10 within 90 days; one year of financial-services experience required.

About the employer

Northwestern Mutual - Greater Chicago is hiring for this role. Industry: Portfolio Management and Investment Advice. Sector: 52.