Hiring: Director of Supervision Company: Northwestern Mutual Location: Washington DC-Baltimore Area Job Posted Time: 2026-09-16 13:16:47 Employment Type: On-site Target Skills & Keywords : Risk Management, Series 24, Series 7 About the job Experience: •7+ years of financial-services industry experience, with a focus on supervision, compliance, risk management, or regulatory operations. Required Skills: •Perform supervisory reviews across key systems and communications, including flagged email, social-media correspondence, transaction activity, trend-based supervision, and compliance-monitoring tools. •Conduct on-site inspections, client-file reviews, and compliance interviews with Financial Representatives and their teams. •Identify, evaluate, document, and escalate potential risks, trends, sales-practice concerns, and supervisory issues. •Maintain books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations in accordance with FINRA and firm requirements. •Actively facilitate and support implementation and execution of established compliance programs, supervisory procedures, and office-level controls. •Assist in developing and documenting supervisory plans for non-standard behaviors, identified risks, or other areas requiring heightened oversight. •Serve as a consultative resource to Financial Representatives and team members on regulatory requirements, firm policies, documentation standards, and best practices. •Analyze compliance data, trends, and observations to provide practical, risk-based recommendations to leadership and field teams. Qualifications: •Series 7, Series 9/10, and Series 63; or Series 7, Series 24, Series 4, Series 53, and Series 63. •Active Life, Accident, and Health licenses required, or the ability to obtain them within three months of hire. •5–7+ years of financial-services industry experience, with a focus on supervision, compliance, risk management, or regulatory operations. •Strong working knowledge of FINRA regulations, supervisory practices, documentation requirements, and field-office compliance processes. •Demonstrated capacity to analyze data, identify patterns, assess risk, and make well-reasoned recommendations. •Strong organizational skills, attention to detail, critical-thinking ability, and capacity to manage competing priorities. •Comfortable working independently while collaborating effectively with advisors, staff, and leadership. •Excellent written and verbal communication skills, including the ability to explain complex regulatory requirements clearly and constructively. •Demonstrated capacity to commute to the office; this is an in-office team environment. •This person will deepen their supervisory, compliance, and risk-management expertise by working on complex field-office matters, navigating evolving regulatory expectations, and partnering closely with leadership and Financial Representatives. Compensation: •Competitive benefits and rewards package Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!