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 whats most important. With nearly$700 billionof total assetsbeing managed across the companys institutional portfolio as well as retail investment client portfolios more than$38 billionin revenues and$2.4 trillionworth 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 FORTUNE500 and was recognized by FORTUNEas one of the Worlds Most Admired life insurance companies in 2026.

The 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 offices 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 escalate 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 leadership on compliance regulatory supervision and risk management topics.
• Communicate regulatory changes new rules policy updates and process expectations in a clear practical and timely manner.
• Ensure registered persons complete required Firm Element continuing education requirements.

Success in This Role

Success as the Director of Supervision will be demonstrated through sound judgment consistent execution strong advisor relationships and the ability to help the office maintain a proactive culture of compliance. Key outcomes include favorable audit results effective risk management practices timely completion of annual compliance requirements and measurable progress in reducing compliance trends or recurring issues.

The Director of Supervision will also help support long-term policy maintenance improve retention reduce lapse and surrender experience and preserve field compensation and recognition through strong supervision education and partnership with advisors and teams.

• 5 years of compliance supervision or risk management or a related financial services role.
• Strong working knowledge of securities insurance investment advisory financial planning industry regulations and standard supervisor policies and procedures.
• Experience with branch examinations audits supervision systems and regulatory requirements and compliance monitoring processes.
• Demonstrated ability to lead influence advise and communicate effectively in a highly regulated environment.
• Strong analytical organizational critical-thinking and problem-solving skills.
• Ability to evaluate issues identify trends anticipate risk and make sound recommendations using analysis experience and judgment.
• Excellent written verbal presentation and interpersonal communication skills.
• Experience handling highly sensitive communications and confidential matters with discretion.
• Ability to work independently with minimal guidance while collaborating effectively with a broader leadership team.

Licenses/Certifications

• Active and valid FINRA Series 7 required.
• Active and valid FINRA Series 9/10 and Series 63 registrations required or the ability to obtain required registrations as applicable.
• Active FINRA Series 24 4 53 and 63 registrations may be considered in lieu of Series 7 9/10 and 63 where applicable.
• Active Life and Health licenses or the ability to obtain them within three months.

Benefits

Northwestern Mutual Houston is committed to building a team that loves what they do and creating a work environment that supports long-term career growth. The compensation package includes:

• Comprehensive medical coverage with employer contribution.
• Safe Harbor 401(k) with employer match.
• Annual discretionary bonus opportunity.
• Generous paid time off (PTO) and holiday pay.
• Employer-paid life and disability insurance.
• Dynamic career growth opportunities.
• Employer-sponsored licensing professional development and education opportunities.
• Flexible work arrangements where applicable.

Compensation & Bonus Opportunity

Base salary: $117300-$176700 annually based on experience and qualifications.

Eligible for an annual incentive program tied to strategic and operational performance.

OMNI is honored to be retained in this search. We appreciate your referrals to professionals who may have an interest in this outstanding opportunity. Formal interest accepted through theOMNI Executive Career Portal.

OMNI and our clients are Equal Opportunity Employers.