The Assistant Director for Compliance oversees consultation on compliance matters, develops solutions for cross-territory challenges, and supports tailored training programs while managing compliance objectives.
A newly created role evolved from where compliance excellence meets innovative solutions for our most sophisticated practices. This professional is a technical expert with the proven ability to collaborate with diverse stakeholders, uncover novel solutions, and provide next-level consultation. They support the curation of a seamless, strategic partnership across all Managing Partners, Field Supervisors, ensembles, and compliance partners through data aggregation, information- sharing, and strategic initiative development. They will serve as primary point of contact for ensemble-specific Director of Supervision for escalated compliance and supervision matters, balancing the need for expeditious outcomes and innovative solutions.
Responsibility Highlights
• Exclusive Consultation: Provide expert consultation to the Director of Supervision on highly complex and unprecedented topics raised by our top firms, serving as the liaison between field and corporate on all compliance and supervision matters, ensuring swift and coordinated resolution across leaders.
• Cross-territory Solutions: Aggregate and consult on information needed by the Director of Supervision to execute on a seamless cross-network office experience despite system-limitations. Support the redesign of workflows impacted by cross-territory challenges.
• Modernized Compliance Test and Learn: Pioneer a modernized compliance framework based on a profound understanding of ensemble business strategy, team dynamics, client focus, and trust.
• Strategic Advisory Role: Facilitate communication across compliance divisions, business partners, and field stakeholders to ensure alignment in achieving compliance objectives, intentional risk management, and collaborative exploration. Advise leaders on the potential compliance impacts of ensemble business objectives.
• Tailored Training Development: Support the identification, design, and delivery of tailored training programs in response to data trends, industry changes, and evolving risks.
• Foundational Support: Provide continuous support for initiatives such as annual training and attestation monitoring, optimizing contracting workflows, managing staff compensation, and conducting transaction reviews, particularly in areas where systems restrict cross-territory access.
• Thought Leadership: Shape future compliance iterations and influence policy development by leveraging insights gathered through field partnership, innovative thinking, and visionary leadership.
Qualifications
• 5+ years progressive experience in financial services compliance.
• Strong technical expertise in compliance regulations and risk management processes.
• Keen understanding of our field structure and roles within.
• Exceptional problem-solving skills with a track record of developing innovative solutions.
• Excellent communication and interpersonal skills, with the ability to build and maintain strong relationships
• Strategic thinker with the ability to influence and drive compliance initiatives aligned with business objectives.
• Experience in designing and delivering customized training programs.
• Ability to manage multiple priorities and work effectively in a fast-paced, dynamic environment.
• Active FINRA Series 7 and 24.
#LI-Hybrid
Compensation Range:
Pay Range - Start:
$92,750.00
Pay Range - End:
$172,250.00
Geographic Specific Pay Structure:
205 - Structure 110: 102,060.00 USD - 189,540.00 USD
205 - Structure 115: 106,680.00 USD - 198,120.00 USD
We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!
Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
FIND YOUR FUTURE
We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.
Responsibility Highlights
• Exclusive Consultation: Provide expert consultation to the Director of Supervision on highly complex and unprecedented topics raised by our top firms, serving as the liaison between field and corporate on all compliance and supervision matters, ensuring swift and coordinated resolution across leaders.
• Cross-territory Solutions: Aggregate and consult on information needed by the Director of Supervision to execute on a seamless cross-network office experience despite system-limitations. Support the redesign of workflows impacted by cross-territory challenges.
• Modernized Compliance Test and Learn: Pioneer a modernized compliance framework based on a profound understanding of ensemble business strategy, team dynamics, client focus, and trust.
• Strategic Advisory Role: Facilitate communication across compliance divisions, business partners, and field stakeholders to ensure alignment in achieving compliance objectives, intentional risk management, and collaborative exploration. Advise leaders on the potential compliance impacts of ensemble business objectives.
• Tailored Training Development: Support the identification, design, and delivery of tailored training programs in response to data trends, industry changes, and evolving risks.
• Foundational Support: Provide continuous support for initiatives such as annual training and attestation monitoring, optimizing contracting workflows, managing staff compensation, and conducting transaction reviews, particularly in areas where systems restrict cross-territory access.
• Thought Leadership: Shape future compliance iterations and influence policy development by leveraging insights gathered through field partnership, innovative thinking, and visionary leadership.
Qualifications
• 5+ years progressive experience in financial services compliance.
• Strong technical expertise in compliance regulations and risk management processes.
• Keen understanding of our field structure and roles within.
• Exceptional problem-solving skills with a track record of developing innovative solutions.
• Excellent communication and interpersonal skills, with the ability to build and maintain strong relationships
• Strategic thinker with the ability to influence and drive compliance initiatives aligned with business objectives.
• Experience in designing and delivering customized training programs.
• Ability to manage multiple priorities and work effectively in a fast-paced, dynamic environment.
• Active FINRA Series 7 and 24.
#LI-Hybrid
Compensation Range:
Pay Range - Start:
$92,750.00
Pay Range - End:
$172,250.00
Geographic Specific Pay Structure:
205 - Structure 110: 102,060.00 USD - 189,540.00 USD
205 - Structure 115: 106,680.00 USD - 198,120.00 USD
We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.
Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!
Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.
FIND YOUR FUTURE
We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and our commitment to a culture of belonging.
- Flexible work schedules
- Concierge service
- Comprehensive benefits
- Employee resource groups
Top Skills
Finra Series 24
Finra Series 7
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