Job Details

Director of Supervision & Investment Operations

Northwestern Mutual – Hawaii is seeking a Director of Supervision & Investment Operations to join its leadership team. This role involves building and leading the compliance and investment operations functions, developing supervision strategies, and serving as a trusted compliance advisor to representatives.

Key Responsibilities:

• Build and lead office administration and support functions for investment operations, improving processes for better productivity.
• Perform compliance reviews and supervise multiple systems.
• Develop supervisory plans to address non-standard behaviors and sales practice concerns.
• Train Financial Representatives and staff on compliance, regulatory topics, and investment fundamentals.
• Advise Financial Representatives and field staff on risk management, regulatory changes, policies, and documentation.

Qualifications:

• Active and valid FINRA Series 7 license required; Series 9/10 and 63 within 3 months. Alternatively, Series 7, 24, 4, 53, and 63 may be considered.
• Active Life/Health licenses or ability to obtain within 3 months.
• 5-7 years of experience in operations management or compliance/supervision.
• Strong knowledge of industry and regulatory policies.
• Decision-making, analytical, organizational, and communication skills.