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Associate Director of Supervision

4 months ago

Tampa, United States Northwestern Mutual Full time

COMPANY OVERVIEW 


Northwestern Mutual is among the top financial services companies in the industry, helping clients achieve financial security for over 160 years. Northwestern Mutual Greater Tampa Bay (NMGTB) is the local company that attracts, trains, and develops financial advisor talent for five district offices. NMGTB is governed by five core values: Commitment to Excellence, Serve Passionately, Humble Confidence, Courage and Fun. Our mission is to empower our advisors and clients to reach their dreams. This is an exciting time to be a part of our culture, and our firm is growing. If you align with our core values, we want you to grow with us.


We are proud to be part of the great Northwestern Mutual company. Our focus is on doing right by our clients, employees, and community. Northwestern Mutual enjoys premiere national recognition including:


  •  Ranks 90 on the FORTUNE® 500 list
  •  One of the "World's Most Admired" life insurance companies (FORTUNE®, 2020)
  •  One of the Top 10 U.S. Independent Broker-Dealers (Investment News, 2019)


 

POSITION OVERVIEW 


The Associate Director of Supervision supports the Managing Partner and Director of Supervision in shaping the culture of compliance in the firm. You will support the Director and MP in implementing the supervision strategy and risk management approach for the firm. You will prioritize effectively and will work within a team to accomplish network office goals. You will evaluate situational risk, make decisions, and build relationships effectively. Finally, you will bring an enthusiasm for new ways of working, an eye for efficiency, and an ability to motivate others.

 

JOB RESPONSIBILITIES 


The responsibilities of the Associate Director include but are not limited to:

  • Supporting the Director, as required
  • Managing annual Financial Advisor review process and annual file review meetings
  • Overseeing monthly and quarterly training for new Financial Representatives and or staff employed by our Advisors
  • Reviewing written correspondence sent and received from clients or prospects
  • Supervising sales contests
  •  Reviewing and approve new client applications
  • Assisting with reviewing trade corrections
  •  Managing the Financial Advisor follow-up process (i.e. scheduling Financial Advisor review meetings, collecting questionnaires and other key items, and maintaining a list of items for teams)
  • Involvement in the Annual Audit through collection of records and interviews
  • Participation in annual Supervision planning and goal setting
  • Developing training materials
  • Assisting with special projects that help Financial Advisors develop new ideas
  • Process development and enhancement such as evaluation of workflow, support change, and creating structure around supervision processes


REQUIRED QUALIFICATIONS: 

 

  • Bachelor’s Degree 
  • Series 7, 9, 10, and 63 (or ability to obtain within 90 days)
  • Florida 2-15 Life, Health & Variable Annuity Insurance License (or ability to obtain within 60 days)
  • Ability to work independently with minimal guidance across a variety of tasks 
  • Effective communication skills across audiences and mediums 
  • 5+ years industry experience 
  • Supports leaders in integrating compliance into network office priorities 
  •  Strong relationship management skills 
  • Skilled in listening, partnering, and advocating 
  • Ability to evaluate problems and make decisions quickly based on risk 


BENEFITS

 

A full range of benefits including health insurance, short/long-term disability, option to participate in dental & vision plans, 401k, license/credential reimbursement, continuing education, and professional development opportunities.

 

ADDITIONAL DETAILS


Employment Structure: Full-time

Location: 1511 N Westshore Blvd, Suite 800, Tampa, FL 33607


As part of the Northwestern Mutual hiring process, verification of a candidate's background will be required, which includes Federal Bureau of Investigation fingerprint submission for review against nationwide fingerprint records.