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Northwestern Mutual, Kansas & West Missouri
Associate Director, Compliance & Supervision
Career Insights for Compliance Manager
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Based on Kansas data
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What they do
A Compliance Manager tracks employer compliance with laws and regulations, particularly for organizations in business and health care. Creates company policies, reviews departmental functions and protocol, follows developments in law and regulations affecting the industry
$165,240 / year median in Kansas
+5% projected growth
Job Description
Associate Director, Compliance & Supervision Northwestern Mutual, Kansas & West Missouri Leawood, KS Job Details Full-time $70,000 - $85,000 a year 1 day ago Benefits Health savings account Health insurance Dental insurance Paid time off Employee discount Life insurance Qualifications Series 9/10 Series 7 Life & Health Insurance License Series 63 Full Job Description Lead Compliance. Strengthen Supervision. Drive Results. We're seeking an experienced Assistant Director of Network Office Supervision (ADNOS) to help ensure regulatory compliance, support financial representatives, and strengthen supervisory practices across our network. This role is ideal for a collaborative leader who thrives in a fast-paced environment and is passionate about risk management, coaching, and operational excellence. What you will do. Oversee supervision of securities and insurance activities to ensure compliance with FINRA, SEC, MSRB, and company policies. Monitor sales practices, conduct representative reviews, and address compliance concerns. Serve as a registered principal for securities transactions. Provide training, guidance, and support to financial representatives and staff. Identify, mitigate, and resolve compliance and operational risks. Partner with leaders and home office teams to improve supervisory processes and drive best practices. What You'll Bring 1-5 years of experience in securities supervision, compliance, or operations.