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Assistant Director - Finance/FinOp

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

At Northwestern Mutual, we’re changing the way people think about financial planning. We’re redefining and reinventing the industry and changing people’s financial lives with better experiences and better technology. We're going through a digital technology transformation and are making major improvements to the ways our employees experience their work! Come help us build for the future.

The Assistant Director of Finance/FinOp will be charged with providing leadership and direction to the finance and accounting team. Identify and enact policies and procedures that result in workflows which ensure the accurate and timely financial reporting and overseeing audit and regulatory filing processes.

This role will work closely with other organizations across the enterprise on efforts to mitigate financial risks within the context of the Company’s strategic and financial objectives. It will include presenting findings to management and to the business in a way that’s easy for the company to understand, implement, and administer.

Bring your best! What the role requires:

  • Provide financial leadership to the accounting team and key partners across the enterprise to ensure complete and accurate financial accounting and reporting
  • Performs high-level technical accounting research in support of the Director, Controller and CFO.
  • Prepare financial documents and reports.
  • Calculate and report regulatory excess net capital to ensure compliance and produce FOCUS report monthly.
  • Work with and manage third-party Auditors and Administrators.
  • Develop and oversee streamlined financial control and governance functions.
  • Coordinate with other internal and external risk and control functions to improve integration of governance, risk and compliance functions and update policies and procedures.
  • Central point of contact on all control related issues with respect to revenue reporting and Finance controls.
  • Participate in the infrastructure, strategic or regulatory projects that involve Finance.
  • Foster a positive culture of risk by working proactively with the business and other teams to ensure that standard methodologies and systems are in place to facilitate conformance with the regulatory requirements, applicable laws, and internal policy.


  • Ability to function at a high level in a fast-paced and dynamic organization.
  • Proven track record to recognize and weigh business risks, lead strategically and advance innovative solutions.
  • FINRA Series 27 (FinOp)
  • CPA and likely audit background from a “big four” firm.
  • Solid understanding of Financial Responsibility Rules (e.g.: SEA Rules 15c3-1, 15c3-3)
  • Excellent communication skills with an outstanding business acumen and highly analytical
  • Desire to work in a collaborative environment with a team of hardworking colleagues.
  • Ability to identify and diagnose problems and articulate creative and practical solutions and alternatives.
  • Exposure to complex investment products.
  • Experience interacting with and/or operating in a regulated broker dealer would be valuable


  • Flexible work schedules
  • 401k
  • Defined benefit pension
  • Performance based incentive pay
  • Medical, dental and vision insurance
  • Parental leave and Caregiver time off
  • Tuition reimbursement, commuter plans, and paid time off
  • On-site concierge service, an on-site gym, and an on-site cafeteria.



This position has been classified as a Registered Representative under NMIS guidelines and requires fingerprinting.

Required Certifications:

Series 27 - FINRA

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now! 

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.


We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.