Northwestern Mutual | Director of Supervision | orlando, fl

1 month ago


orlando, United States Northwestern Mutual Full time

Director of Supervision



The Director of Supervision supports the Managing Partner in shaping the culture of the office. This role will develop the supervision strategy for the office but will also be influential in developing the network office strategies based on the corporate and local visions. As a key member of the leadership team you will be a credible and trusted advisor to representatives and other leaders. The Director of Supervision is responsible for interpreting data and developing strategic metrics to drive outcomes and mitigate risk.

Duties of the role include the following:

Collaborates with other leaders and integrates compliance into other business functions

Work as a member of the leadership team to determine the strategic direction of compliance and other business priorities

Partner with other members of executive leadership team to translate vision into action and drive toward desired outcomes

Desire to lead the strategic execution of the Network Office compliance and supervision program

Interpreting data and developing strategic metrics to drive outcomes and mitigate risk

Perform review and supervision of multiple systems, including, but not limited to, flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems

Potential to complete on-site inspections, client file reviews, and compliance related interviews of Financial Representatives and their staff

Oversight and maintenance of books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices and other field locations as required by FINRA

Maintain a strong presence in the network office to influence multiple dimensions of culture through consultative work with other members of the Supervision team, as well as Financial Representatives and their field staff

Develop, manage, and monitor supervisory plans to address non-standard behavior or to address sales practice concerns

Execute proactive training as needed for Financial Representatives and staff on compliance, regulatory, or related topics

Lead Persistency strategy to include proactive training and partnership with development teams.


Knowledge, Skills, Abilities:

Active and valid FINRA Series 7, 9/10 and 63 registrations are required

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

4 years of industry experience with an emphasis in compliance/supervision

Extensive working knowledge of standard industry and regulatory policies and procedures

Ability to execute on high level business strategies and outcomes

Strong ability to handle highly sensitive communications and deliver feedback and difficult messages

Ability to delegate workload, develop support, and supervise a team (if needed)

Highly detailed and data-oriented with solid critical thinking, organizational and analytical skills

Profound decision-making skills; ability to use a mixture of analysis, experience, and judgment to assess risk, navigate ambiguity, and arrive at a conclusion or recommendation

Ability to identify issues, trends, and potential sales practice issues with the purpose of escalating or addressing them

Strong relationship management skills with ability to deepen relationships and build partnerships across key functional areas

Strong business acumen

Approachable and skilled in listening, partnering, and advocating with empathy

Highly evolved communication and presentation skills across audiences and mediums

Orientation toward working independently and prioritizing work effectively with minimal guidance

Strong ability to work effectively with people at all levels in an organization and influence change with interpersonal savvy

Ability to adapt quickly to the impacts of regulatory changes, environmental factors, or other miscellaneous policy or process changes



  • Orlando, Florida, United States Northwestern Mutual Full time

    Director of SupervisionThe Director of Supervision is a strategic leadership position that plays a crucial role in shaping the culture of our office. This individual will work closely with the Managing Partner to develop and implement the supervision strategy for the office, as well as contribute to the development of network office strategies aligned with...


  • Orlando, United States Northwestern Mutual Full time

    Director of SupervisionThe Director of Supervision supports the Managing Partner in shaping the culture of the office. This role will develop the supervision strategy for the office but will also be influential in developing the network office strategies based on the corporate and local visions. As a key member of the leadership team you will be a credible...


  • Orlando, Florida, United States Orlando FL Endoscopy ASC LLC Full time

    We are seeking an experienced Center Director to join our team at Orlando FL Endoscopy ASC LLC, a leading provider of endoscopic services in Central Florida.This is a unique opportunity to lead our Ambulatory Surgery Center, working closely with our medical staff and patients to provide exceptional care and service. As a seasoned healthcare professional, you...


  • Orlando, Florida, United States Scenthound SODO Orlando, FL Full time

    About the OpportunityWe are excited to offer a challenging and rewarding career opportunity for a Director of Operations to join our team at Scenthound SODO Orlando, FL. As a key leader, you will be responsible for overseeing the daily operations of our state-of-the-art Scenter, ensuring exceptional customer experiences, and driving sales growth. With strong...


  • Orlando, Florida, United States The Curare Group, Inc Full time

    Job SummaryWe are seeking an experienced Medical Director to join our team at The Curare Group, Inc. in Orlando, FL.


  • Orlando, Florida, United States CS Orlando Health Full time

    Orlando Health Medical Group is a renowned healthcare organization seeking talented Urologists to join its esteemed team in Orlando, FL.Job DescriptionThe ideal candidate will possess outstanding clinical skills and be able to work effectively as part of a collaborative Urology group. This full-time position offers a range of benefits, including a...


  • orlando, United States Visit Orlando Full time

    Primary ObjectiveProvides logistical support and planning to the Trade Shows & Events Department event planners in the coordination and planning of trade shows and events that support Visit Orlando’s mission to promote Orlando as a destination. Also provides creative and logistical planning for internal events.Major Areas of ResponsibilityManages,...


  • orlando, United States Visit Orlando Full time

    Primary ObjectiveProvides logistical support and planning to the Trade Shows & Events Department event planners in the coordination and planning of trade shows and events that support Visit Orlando’s mission to promote Orlando as a destination. Also provides creative and logistical planning for internal events.Major Areas of ResponsibilityManages,...


  • orlando, United States Orlando Ballet Full time

    The Executive Assistant & Board Liaison offers administrative support services to organizational executives and the Orlando Ballet Board of Directors. Work requires independent judgement and initiative on assignments that may be confidential and time sensitive. This individualmust be able to filter and prioritize client visits or phone calls, communicate on...


  • Orlando, Florida, United States Orlando Health Medical Group Full time

    Join Our Team as a Pediatric PsychiatristOrlando Health Arnold Palmer Hospital for Children is seeking a dedicated and compassionate Pediatric Psychiatrist to provide comprehensive care to children and young adults. As a key member of our rapidly expanding department, you will have the opportunity to work with a multidisciplinary team, including...


  • Orlando, Florida, United States CS Orlando Health Full time

    Orlando Health Medical Group is a leading healthcare provider seeking experienced Urologists to join their team in Orlando, FL.Job OverviewThe ideal candidate will possess excellent clinical skills and be able to work effectively as part of a collaborative Urology group. The full-time position offers a competitive compensation package averaging $650k, with...


  • Orlando, Florida, United States Orlando Full time

    About the JobWe are seeking a highly skilled Dutch Language Content Specialist to join our team in Orlando, FL. As a specialist, you will be responsible for transcribing audio recordings in Dutch using proper spelling and grammar. The ideal candidate will have excellent language skills, strong research abilities, and a keen eye for punctuation, grammar, and...


  • Orlando, Florida, United States Orlando FL Endoscopy ASC LLC Full time

    Company OverviewOrlando FL Endoscopy ASC LLC is a leading provider of high-quality ambulatory surgical services in the Orlando area. Our state-of-the-art facilities specialize in colon cancer screening and gastroenterology, offering patients exceptional care and comfort.We are committed to delivering the highest standards of patient care and quality, while...

  • Ambulatory Care Nurse

    4 weeks ago


    Orlando, Florida, United States Orlando Health Full time

    About Orlando HealthOrlando Health is a comprehensive healthcare system serving patients from across the southeastern United States.We have over 200 practices and 1,200 physicians representing more than 55 specialties, including cardiology, vascular medicine, orthopedics, oncology, digestive health, neurology, neurosurgery, bariatric surgery, general...


  • Orlando, United States Animal Hospital at Baldwin Park Full time

    Who we are:: Animal Hospital at Baldwin Park in Orlando, FL has an opportunity for Full- time Veterinarian who is passionate about surgery to join our team! Our dynamic animal hospital is a full-service multi-doctor practice with a positive, culture-driven environment where quality patient care is key. We pride ourselves on being able to offer a wide...

  • Pet Care Specialist

    4 weeks ago


    Orlando, Florida, United States Scenthound East Orlando, FL Full time

    Job OverviewScenthound in East Orlando, FL is seeking a skilled Dog Groomer to join our team.About the PositionThe successful candidate will provide top-notch grooming services to clients, utilizing their knowledge of dog breeds and care standards. This role requires at least one year of experience and graduation from a reputable grooming school.Key...


  • Orlando, Florida, United States CS Orlando Health Full time

    Opportunity OverviewCS Orlando Health is seeking a skilled Urologist to join their team in Orlando, FL. This full-time position offers a competitive compensation package averaging $650k, with no cap.Key HighlightsThe successful candidate will have the opportunity to work as an integral part of a large collaborative Urology group, providing care at multiple...


  • orlando, United States Orlando City Soccer School Lake Nona Full time

    Orlando City Lake Nona is the fastest growing community club in Central Florida. We are uniquely located near Orlando International Airport in the affluent Lake Nona community and a stone’s throw to top attractions such as Disney, Universal Studios and downtown Orlando. OC Lake Nona offers a unique soccer pathway for players within the central Florida...


  • Orlando, Florida, United States Medicorp, Inc Full time

    Job Summary:We are seeking a highly skilled and dedicated Physician to join our team as Medical Director in the Orlando, FL area. This is an exciting opportunity for a motivated professional to lead our group of healthcare providers and contribute to the delivery of high-quality patient care.About Medicorp, Inc:Medicorp, Inc is a reputable medical group with...


  • Orlando, United States Orlando Health Full time

    Orlando Health Arnold Palmer Children’s Hospital is seeking an exceptional Pediatric Hospitalist to join our practice. This in-house position offers a diverse clinical experience caring for a wide range of pediatric inpatients and well newborns.Key Responsibilities:Provide comprehensive inpatient care across non-teaching and teaching servicesCare for...