About the Job:
The Assistant Director – Tailored Advisor Support (TAS), within the Supervision division of Enterprise Compliance, will play a crucial role in overseeing operations, strategy, and the relationship between Supervision and Northwestern Mutual’s top firms. This position requires a dynamic leader capable of evolving and expanding the existing TAS program to enhance its capacity for delivering a white glove experience. The role also involves proactive consulting to mitigate risk, improve efficiency, and reduce errors; aligning TAS with Advisory and Annuity Supervision; and serving as a testing ground for large firm supervision concepts. The Assistant Director will lead a team of 6-10 employees and act as a subject matter expert for large teams. Lastly, they are expected to take their learnings from TAS and influence broader Supervision team operations.
What You'll Do:
Operational Leadership: Manage and optimize day-to-day operations within the TAS program, ensuring high standards of service delivery and operational efficiency.
Strategic Development: Develop and implement strategies to evolve and expand the TAS program, providing proactive consulting services and enhancing the white glove experience for field firms.
Relationship Building: Establish and maintain strong relationships with top firms to understand their unique needs and align TAS offerings to provide tailored support.
Program Expansion: Identify opportunities to expand TAS capacity, including proactive consulting, customized training, pre-submission reviews, and reduction of NIGO occurrences.
Evaluate and implement strategies to align TAS with Advisory and Annuity Supervision, and other offerings, and serve as a testing ground for innovative supervision concepts.
Lead, mentor, and develop a team of 6-10 FTEs, fostering a collaborative and high-performing work environment.
Serve as the SME for Supervision, staying informed on field and field function developments and sharing insights to influence broader team operations.
Analyze performance metrics, such as New Account escalation rates, to identify areas for improvement and ensure TAS maintains superior service levels.
Collaborate with Performance teams, SAGE, and other stakeholders to share learnings and influence positive changes across the organization.
What You'll Bring to the Role:
FINRA Series 7 and 24 Required
Proven experience in operations management, strategy development, and relationship building within the financial advisory sector or a related industry.
Strong leadership skills with experience in managing and developing teams.
Excellent communication and interpersonal skills, with the ability to build and maintain relationships with top advisory firms.
Strategic thinking and problem-solving abilities, with a proactive approach to consulting and service delivery.
Familiarity with supervision concepts within the advisory and annuity sectors.
Ability to analyze data and metrics to drive performance improvements and operational efficiencies.
Bachelor’s degree in business, finance, or a related field; advanced degree preferred.
Skills You Have:
Business Influence: Collaborates, communicates and influences direct reports, stakeholders, and other business functions based on understanding of the marketplace, organizational needs, and the client as a people manager.
Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.
Decision Making: Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.
Industry Knowledge: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape within a particular industry / sector to better understand and address unique client requirements, challenges, and context.
Strategic Vision & Planning: Develops, defines, and executes strategic vision for the team and business function they manage with an understanding of the enterprise’s goals as a people manager; defines business planning, strategy formulation, and management engine to support strategic vision.
Talent Development & Planning: Develops direct reports’ skills based on organizational objectives, evaluates skill gaps, and manages succession planning to develop more capable direct reports, diverse, strong teams and better organizational performance in an equitable and inclusive manner.
#LI-Hybrid
This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.Series 24 - FINRA, Series 7 - FINRA, SIE - FINRACompensation Range:
Pay Range - Start:
$104,090.00Pay Range - End:
$193,310.00Geographic Specific Pay Structure:
Structure 110:
$114,520.00 USD - $212,680.00 USDStructure 115:
$119,700.00 USD - $222,300.00 USDWe 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.
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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.