WoodmenLife is looking for a Securities Principal to join our team!
We are currently searching for a Securities Principal to join our team. The Securities Principal
provides direction, service, and support for 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 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?
This is a hybrid position.
We are looking for someone to:
- Principals and reviews all applications and transactions for business submitted in a timely manner. Applies industry, WoodmenLife and WFS guidelines to focus on suitability or best interest standards in the review of mutual funds, variable annuities, buffer/index annuities, and fixed annuity sales.
- Communicates 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.
- Receives incoming and makes outgoing calls to/from WFS Financial Representatives, WoodmenLife Representatives and clients. Communicates effectively in response to inquiries about customer accounts including processing of transactions, WFS and WoodmenLife procedures, and required paperwork.
- May perform two to three on-site audit trips annually of registered representative’s offices. Keeps detailed records of these audits and follows-up with noted discrepancies.
- Assists in the development and implementation of procedures and participates in the planning process in order for WFS to meet and exceed sales and service expectations.
- Ensures 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.
We need someone who has:Minimum Qualifications:
- Must have or obtain FINRA, SIE, Series 6, 26 and 63 licenses within 12 months of hire and possess 3 years of industry experience.
- Bachelor’s degree in Business preferred or equivalent business 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.
WoodmenLife offers a competitive compensation package and a comprehensive benefits package. More information about our benefits can be found at https://www.woodmenlife.org/careers/home-office/benefits/.
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.
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.