Securities Principal

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Job description

*Position will work in the tower downtown. Hybrid option available*

General Position Summary

Woodmen Financial Services, Inc. (the "Firm") is presently registered as a broker-dealer with the U.S. Securities and Exchange Commission (the "SEC"), is a member of the Financial Industry Regulatory Authority, ("FINRA") and licensed or registered with the Securities Administrators of state jurisdictions as required. The Firm currently offers mutual funds, "529 Plans," variable products, as well as general securities products.

The Securities Principal provides direction, service, and support for Woodmen Financial Services (WFS) associates, Sales Representatives and members, by ensuring that all submitted business and member calls are completed using the procedures and industry operational requirements on a daily basis.

WoodmenLife is looking for a Content Strategist to join our team!

We are currently searching for a Securities Principal who will communicate with the licensed Financial Representatives, non-securities licensed WoodmenLife Representatives, and other investment or insurance companies on issues to determine approval of business in a prompt manner. WoodmenLife is one of the best places to work in Omaha and has been in business for 130 years. As a member of the WoodmenLife family, you're joining others who share your commitment to family, community and country. Through WoodmenLife, you'll have opportunities to connect with others, give back locally, and honor those who make an impact. As a not-for-profit life insurance company, we've been helping to protect the financial future of families, making a difference in hometowns across America since 1890. We are passionate about our members, servicing others, being open minded, providing an environment of inclusion and collaborative spirit. We also provide world class benefits to our associates. Is this the type of company you could work for?

We are looking for someone to:

• Review all applications and transactions for business submitted in a timely manner. Apply industry, WoodmenLife and WFS guidelines to focus on suitability or best interest standards in the review of mutual funds, variable annuities, and fixed annuity sales.
• Receive incoming and make outgoing calls to/from WFS Financial Representatives, WoodmenLife Representatives and clients. Communicate effectively in response to inquiries about customer accounts including processing of transactions, WFS and WoodmenLife procedures, and required paperwork.
• Annually perform two to three on-site audit trips of registered representative's offices. Keeps detailed records of these audits and follows-up with noted discrepancies.
• Assist in the development and implementation of procedures and participates in the planning process in order for Woodmen Financial Services to meet and exceed sales and service expectations.
• Ensure the Sales Team, Call Center, and Compliance areas are working together towards achieving successful operations and ongoing support to the WoodmenLife Sales Representatives and their members.
• Meet expectations for attendance and punctuality in accordance with the expectations established by your supervisor and WoodmenLife policy.
• Perform other duties as assigned by management.

We need someone who has:

• Must have or obtain FINRA, SIE, Series 6, 26 and 63 licenses within 12 months of hire and possess 3 years of industry experience.
• In-depth knowledge of securities industry, fixed annuities and regulations. Ability to make sound and accurate judgment decisions and to include appropriate people in the decision-making process as necessary.
• Strong written and verbal communication skills.
• Ability to organize and prioritize daily tasks.
• Ability to work independently with minimal supervision.
• Attention to detail and accuracy are extremely important.
• Ability to travel up to 10% of the work period.
• The ability to provide seamless, trustworthy, attentive and resourceful (S.T.A.R.) customer service.
• Engages well with others and are passionate about providing an exemplary customer experience.

WoodmenLife offers a competitive compensation package and a comprehensive benefits package. As part of WoodmenLife's employment process, candidates will be required to complete a criminal background check, credit check (where required for position), Fingerprint check (where required for position), drug screen and reference checks. Any offer of employment will be contingent upon successfully passing the above.

WoodmenLife is committed to excellence in diversity by creating an inclusive work environment that values and respects all individuals. We welcome and embrace associates, regardless of background and beliefs. WoodmenLife respects every associate's unique perspective and contribution. We are committed to creating an inclusive environment that values differences, and creates opportunities for growth, leadership and service. This commitment includes providing equal opportunity in recruitment, employment and promotion, training and community outreach. WoodmenLife is also dedicated to strengthening the communities in which its employees live. #LI-LB1

APPLICANTS WITH DISABILITIES SHOULD ADVISE THE HUMAN RESOURCES DEPARTMENT AT THE TIME OF APPLICATION IF SPECIAL ACCOMMODATIONS ARE NEEDED.

Woodmen of the World Life Insurance Society (WoodmenLife) is an equal opportunity employer.