Scott Richer
Associate Director of Supervision at Northwestern Mutual
Based in Boston, United States
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Seniority
Director
Department
Finance & Accounting
Location
Boston
Industry
Financial Services
Company size
38K
Contact information
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s•••••••@northwesternmutual.com
Phone
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Background
About Scott Richer
Professional Summary Detail-oriented Financial Services professional with 32 years of experience in option account approval and supervision, risk assessment, regulatory compliance, financial planning, and client relationship. Proven ability to build and implement controls and supervisory procedures, lead cross-functional risk initiatives, and align risk and compliance strategy with business objectives. Adept at reporting key metrics to senior management. Core Competencies -Brokerage Operations & Risk Management - Client Experience & Digital Service Optimization - Regulatory Compliance & Audit Readiness - Process Improvement & Control Implementation - Cross-functional Collaboration & Leadership - Client Onboarding & Account Opening Oversight - Option Supervision & Surveillance Reporting - Knowledge Management & Documentation - FINRA/SEC Regulatory Frameworks - Team Mentorship & Staff Development
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