Director of Supervision

Northwestern Mutualhas been helping people and businesses achieve financial security for more than 165 years. Through a comprehensive planning approach, Northwestern Mutual combines the expertise of its financial professionalswitha personalized digital experience and industry-leading products to help its clients plan for what's most important. With nearly $700 billionof total assets being managed across the company's institutional portfolio as well as retail investment client portfolios, more than $38 billionin revenues, and $2.4 trillion worth of life insurance protection in force, Northwestern Mutual delivers financial security to more than five million people with life, disability income and long-term care insurance, annuities, and brokerage and advisory services.

Northwestern Mutual ranked 109 on the 2025 FORTUNE
500 and was recognized by FORTUNE®as one of the "World's Most Admired" life insurance companies in 2026.

Director of Supervision is a key member of the leadership team and serves as a trusted compliance advisor to Financial Representatives, field leaders, and staff. This role supports the Managing Partner by developing and executing the office’s supervision strategy, evaluating risk, overseeing investment and insurance-related activities, maintaining required books and records, and ensuring alignment with industry, regulatory, and company standards.

The ideal candidate brings strong technical knowledge, sound judgment, relationship-building skills, and the ability to educate, influence, and lead in a highly regulated environment. This individual will be proactive, detail-oriented, collaborative, and committed to helping advisors and teams operate with integrity, efficiency, and confidence. This person is comfortable advising senior leaders, coaching advisors, navigating sensitive situations, and implementing processes that promote consistency, accountability, and trust.

They bring enthusiasm for improving how work gets done, an eye for efficiency, strong relationship-management skills, and the ability to adapt quickly to regulatory, environmental, policy, and process changes.

This position is full-time, direct hire, located in Houston, Texas.

Supervision, Risk Management & Investment Suitability

• Supervise investment, insurance, and sales practices to ensure compliance with firm, industry, and regulatory requirements.
• Review and address suitability flags related to transactions, correspondence, communications, and business trends.
• Review annuity and life insurance applications for suitability, completeness, and adherence to applicable standards.
• Review and approve trade corrections, escalated orders, non-sufficient funds, class conversions, and money movement transactions submitted prior to applicable deadlines.
• Identify, monitor, and elevate issues, trends, and potential sales practice concerns, including developing supervisory plans to address non-standard behavior or recurring risks.

Compliance Oversight & Regulatory Responsibilities

• Perform reviews across multiple supervision and compliance systems, including flagged email and social media correspondence, transaction and trend supervision, and compliance monitoring platforms.
• Conduct on-site inspections, client file reviews, compliance interviews, as part of annual Financial Representative reviews.
• Maintain required books and records for Offices of Supervisory Jurisdiction, Registered Branch Offices, and other field locations as required by FINRA.
• Review and approve outside business activities, regulatory disclosures, personal securities accounts, and political contributions.
• Support the timely and accurate completion of compliance surveys, audits, regulatory reporting, and other required documentation.

Advisor, Staff & Leadership Support

• Provide consultative guidance to Financial Representatives, field staff, and office leadership on risk management, regulatory changes, policies, procedures, and documentation requirements.
• Serve as a principal delegate and trusted compliance advisor to the Managing Partner and leadership team.
• Build strong relationships with advisors and their teams to help integrate compliance into day-to-day practice management and broader network office priorities.
• Partner with field leaders to address ongoing issues, business trends, compensation structure considerations, and staff-related compliance matters.

Training, Education & Communication

• Train Financial Representatives, Associate Financial Representatives, staff, and…