Licensing & Registration Principal

Licensing and Registration Principal

Unlock your potential as our new Licensing and Registration Principal for MWA Financial Services, Inc. (MWAFS), a registered broker/dealer, investment adviser and wholly owned subsidiary of Modern Woodmen of America. In this crucial role, you will partner with our dedicated Licensing and Compliance teams to ensure adherence to securities rules and regulations. Your responsibilities will include creating, organizing, and maintaining vital licensing files and policies, as well as facilitating the final onboarding and approval of new representatives. You will play a pivotal role in entering and updating representative information and regulatory systems, ensuring seamless communication of any changes. Join us in fostering a culture of compliance and excellence and make a meaningful impact every day.

Modern Woodmen of America is one of the nation’s largest fraternal benefit societies, with assets over $18 billion. Fraternals are unique membership organizations with peculiar names that pair the “member-owned” characteristic of a mutual insurance company with the “social mission” characteristic of a service organization. They unite individuals with common bonds, provide a variety of life insurance and investment products, and form one of the nation’s most effective volunteer networks.

Responsibilities:

• Facilitate the registration and approval process for representative, providing training and guidance as needed.
• Review background inspection report of onboarding representatives, providing summaries to the Licensing and Compliance managers.
• Assist representatives with the completion of reportable disclosure events on the representative’s regulatory registration form to ensure accurate and timely disclosure.
• Build positive relations by providing professional, friendly, and timely service and guidance to representative via phone and email.
• Process various changes to representative information within various Modern Woodmen, MWAFS and regulatory systems.
• Assist with various statistical reporting as needed.

What we need:

• Bachelor’s degree or equivalent experience.
• Related experience in customer service, data entry and and/or business writing.
• Excellent interpersonal, written, and verbal communication skills.
• Ability to organize and prioritize daily tasks to work both independently and with a team.
• Proficiency in Microsoft Outlook, Word, Excel, Access, Teams, and other computer-based programs.
• Ability to obtain licenses in FINRA Securities Industry Essentials (SIE), FINRA Series 6 and FINRA 26. Candidate must be able to pass all three exams within 180 days of hire. We provide time to study during work hours to help you achieve this goal.

What we offer:

• Pay: The hourly pay for this position is $24.00. The specific rate will depend on the successful candidate’s qualifications and prior experience.
• Work Arrangements: This is a full-time hybrid position: 37.5 hours per week (7.5 hours per day), Monday- Friday, with flexible start time between 7:00AM-9:00AM. Hybrid positions work at least 3 days in office and the remaining days each week working from home. Employees beginning to work in a new hybrid role will be required to work on-site (5 days a week) during the initial training period which may be up to 1 year.
•  Stability: Modern Woodmen has been Modern Since 1883® and exists for our members. We make long-term decisions that provide stability to our employees, financial representatives, and members.
• Respect for personal time: We offer vacation, sick leave and 11 paid holidays. We value your time outside of work and offer careers that blend work and life well.
• Professional growth: Benefit from our commitment to employee development which includes educational offerings to enhance your knowledge of our industry.
• Great culture: We build strong working relationships across our organization through collaborative work and volunteer opportunities.
• A beautiful office: Enjoy a beautiful view! Our home office, located in downtown Rock Island, IL, has a lovely plaza overlooking the Mississippi River.
• On-site café: Our employees can purchase a variety of breakfast, lunch, and beverage options at Café 1883.
• A thriving local community: Not from the Quad Cities and hesitant to consider relocation? Give it some thought. The Quad Cities offers an idyllic Midwestern lifestyle along the mighty Mississippi and consistently ranks at the top of the list for quality of life and cost of living. It’s home to more than our share of artists, festivals, and fun in every season.
• Exceptional benefits: Our comprehensive benefits package is designed to support your health and financial well-being. Benefits include:
  • Company-paid retirement plan
  • Matching 401(k) plan
  • Employee Impact Bonus
  • Medical, dental and prescription drug insurance. We pay 100% of employees’ health insurance premium and 50% of employee dependents’ premiums.
  • Group term life insurance.
  • Long-term and short-term disability.
  • Voluntary benefits: vision, flexible savings accounts (FSA), accident Insurance

Modern Woodmen is an equal opportunity employer. Modern Woodmen is committed to providing a respectful environment where each person’s diverse opinions, attitudes, attributes, and feelings are respected.

Salary : $24