Job details
Salary $19.11 - $26.44 an hour job type full-time
Full job description
Location: nebraska
Work type: full time regular
Job no: 499602
Categories: finance/accounting, administrative/support, investment management
Application closes: open until filled
Manages mois licensing and ongoing continuing educational processes including but not limited to: maintenance of registered representative and investment advisor representative licenses, coordination of insurance sponsor appointments, tracking the completion of mois and regulatory educational requirements, and oversight of the renewal processIn addition, this job assists in the creation of mois` needs based analysis and written training plans to ensure compliance with regulatory requirements.
What you`ll do:
Oversees the registration and licensing processes of registration representatives, investment advisory representatives and non-registered personnelCoordinates associate on-boarding, renewals, and termination through interaction with field management and home office employees.
Provides excellent internal and external customer serviceMeets expectations of registered representatives, support staff, coworkers, regulators, and sponsor companies with accurate, complete and timely service.
Develops and maintains the records necessary to track the completion of the firm element and regulatory continuing education requirementsThis includes distributing frequent communication intended to ensure compliance with regulatory requirements and mois timeframes.
Assists in the coordination and development of the annual needs based analysis for mois firm element continuing educationThis includes working with compliance, legal, operations, strategic growth and securities supervision to gather, review and select information pertinent to mois registered representatives.
Tracks and updates all information for new and current sales office locations in conjunction with state regulatory and finra form br requirements.
Manages the annual renewal process through close interaction with mois registered representatives, accounting, and regedResponsible for ensuring updated information is supplied by mois registered representatives within the prescribed renewal timeframes.
Coordinates the delivery and tracking of various training tools and documents to mois` home office employees and field personnelAdditional responsibilities include the tracking and filing of the `annual compliance certification` and monitoring for completion of the mois annual compliance meeting.
Supports the regional securities supervision principals with the registered representative due diligence and approval processesProvides due diligence support by obtaining and disseminating financial and credit reports along with crd disciplinary information.
About you:
You help promote a culture of diversity and inclusion within the department and the larger organizationYou value different ideas and opinionsYou listen courageously and remain curious in all that you do.
You are able to work remotely and have access to high-speed internet.
Registration as a finra general securities representative within the shorter timeframe of 120 days or after three attempts at the sie and series 7 exam.;securities industry essentials (sie) series 7 (or series 1)
Ability to meet ongoing continuing education requirements
Eligible to be bonded and remain bonded
Knowledge of finra, sec and state specific rules and regulations
Ability to operate desktop computer and telecommunications equipment
Excellent oral and written communication skills
Excellent organizational and problem-solving skills
Demonstrated strong customer focus in a fast-changing sales and service environment
Proven success in working with others while completing projects
Must be flexible and willing to perform a variety of assignments
Valuable experience:
Registration as a general securities principal
Registration as an investment advisor representative
What we can offer you:
A diverse workplace where associates feel a sense of belonging.
An organization that feels like a small, close-knit community and has the strength of a fortune 500 company.
Tuition reimbursement, training and career development.
Comprehensive benefits plan that includes medical, dental, vision, disability and life insurance.
Flexible spending accounts for healthcare and childcare needs.
401(k) plan with a 2% company contribution and 6% company match.
Competitive pay with an opportunity for incentives for all associates.
Flexible work schedules with a healthy amount of paid time off.
For more information regarding available benefits, please visit our career site.
Salary range: $19.11 - $26.44/hr.
Pay commensurate with experience.
Mutual of omaha:
Mutual of omaha serves more than 4.8 million individual product customers and 39,000 employer groupsOur legacy of stability creates an environment where every associate is encouraged to experiment, innovate and grow in their own unique career path.
From day one, you’ll have the tools to be your best self at workHere you’ll do meaningful work and your talents will have a positive impact on peoples’ lives as we help our customers protect what they care about and achieve their financial goals.
Each associate is a unique contributor to creating a diverse, dynamic, thriving and inclusive workplaceWe want you to become engaged … feel a sense of belonging … and contribute to the company’s exceptional future.
Join forces with a company that can amplify your strengths and empower your career.
For inquiries about the position or application process, contact our hr helpline at 1-800-365-1405.
If you are a qualified individual with a disability or a disabled veteran, you have the right to request an accommodation if you are unable or limited in your ability to use or access our career center as a result of your disabilityTo request an accommodation, contact a human resources representative at 1-800-780-0304We are available monday through friday 7 am to 4:30 pm cst we will reply within 24 hours.
Mutual of omaha and its affiliates are an equal opportunity /affirmative action employerQualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or protected veteran status.
To all recruitment agencies: we do not accept unsolicited agency resumes and we are not responsible for any fees related to unsolicited resumes.
Help: 800-365-1405
