Assistant Director of Financial Planning and Supervision
6 hours ago
We are seeking a highly skilled and experienced Assistant Director of Financial Planning and Supervision to join our team at Northwestern Mutual Portland. The successful candidate will be responsible for supporting the Managing Partner and Director of Supervision in shaping the culture of compliance in the office, as well as partnering closely with the Director of Financial Planning to support advisors in increasing productivity through planning and integrated investment operations support.
Key Responsibilities- Support the Managing Partner and Director of Supervision in implementing the supervision strategy and risk management approach for the office.
- Oversee the maintenance of investment compliance records in accordance with securities industry rules.
- Identify and implement process improvements, form a firmwide regulatory communication strategy, and conduct training sessions.
- Review and supervise multiple systems, including flagged email and social media correspondence, transaction/trend supervision, and compliance monitoring systems.
- Assist in completing on-site inspections, client file reviews, and compliance-related interviews of Financial Representatives and their staff.
- Maintain books and records for the Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
- Monitor and reinforce Financial Representatives' adherence with local and industry business guidelines.
- Bachelor's Degree required.
- Proven experience in risk management, compliance supervision, and investment operations.
- Strong understanding of financial planning tools and software (e.g., PX software, NetX360, Morningstar, etc.).
- Strong organizational and time management skills with the ability to set priorities and meet deadlines.
- Strong attention to detail, accuracy, and reliability with the ability to thrive in a fast-paced environment.
- Proficient knowledge in Microsoft Office (Outlook, Word, Excel, PowerPoint) with ability to learn various software programs quickly.
- Series 7, 9/10 and 63 FINRA registration required OR able to obtain within the first 3 months of the position.
- Life and Health license, or the ability to obtain within the first 3 months of employment.
- Competitive salary range: $80,000 - $90,000 per year.
- Full-time employment with a dynamic and growing organization.
- Opportunities for professional growth and development.
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San Diego, California, United States Northwestern Mutual Portland Full timeJob Title: Assistant Director of Financial Planning and SupervisionNorthwestern Mutual Portland is seeking a highly skilled and experienced Assistant Director of Financial Planning and Supervision to join our team. This role will support the Managing Partner and the Director of Supervision in shaping the culture of compliance in the office.Key...
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San Diego, California, United States Northwestern Mutual Portland Full timeJob SummaryWe are seeking a highly skilled and experienced Assistant Director of Financial Planning and Supervision to join our team at Northwestern Mutual Portland. This role will support the Managing Partner and the Director of Supervision in shaping the culture of compliance in the office, while also partnering closely with the Director of Financial...
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