Chief Compliance Officer

WoodmenLife is looking for a Chief Compliance Officer to join our team! We are currently searching for a Chief Compliance Officer to join our team. The Chief Compliance Officer (CCO) is a FINRA required principal designation with assigned areas of primary compliance responsibility.  The CCO will supervise the overall day-to-day operations of Woodmen Financial Services and its sales representative’s activities in connection with the offer and sale of mutual funds, 529 state savings plans (529 Plans), variable and fixed annuity products, RILA’s, advisory services and any other approved products. All licensed sales representative report to the CCO.   This in an in-office position that will require up to 15% travel.   WoodmenLife is one of the best places to work in Omaha with over 130 years of service. 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 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 offer a variety of benefits ranging from health, dental, vision, 401K, life insurance and much more. Apply today to learn more!  We are looking for someone to:     As the compliance leader and subject matter expert, the CCO is responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations. Develop, implement and oversee the supervisory system, and the development of procedures for regulatory compliance for the broker/dealer.  Responsible for 3120 testing and 3130 Annual Certification as well respond to, oversee and/or assist with responses to regulatory inquiries. Be responsible to develop, implement and enforce appropriate polices and procedures regarding the Advisors Act. Supervise Licensing Department.  Responsible for the licensing of new representatives and renewal of current representatives to ensure continued compliance with the FINRA, state laws, and regulation. Oversee field examinations of  Woodmen Financial Services (WFS) Representatives. Create and oversee the Firm’s Firm Element Continuing Education program. MSRB Designated Principal.   Essential Job Skills    Registered as a Principal with the FINRA and be designated as WFS’s primary Principal/supervisor with FINRA and in those states in which WFS is licensed or registered.  Must have passed the Securities Industry Essentials (SIE), applicable securities representative examination (Series 7), an FINRA Securities examination applicable to the securities to be supervised (Series 24), the Municipal Securities Principal Exam (Series 53) for qualification as WFS’s Municipal Securities Principal, the Uniform Securities Agent State Law Examination (Series 63) and advisory examination (Series 65 or 66). Minimum of five years of experience within compliance as a Manager or Senior Officer. Bachelor’s degree in Law, Business Administration, Finance or a related field (mater’s degree is preferred) In depth knowledge of securities, insurance industries and broker/dealer operations as well as product knowledge including, but not limited to, mutual funds, 529 Plans, variable annuities, RILA’s and advisory services.  Knowledge of securities policies, regulations and ethical considerations within a broker/dealer and advisory environment as dictated by the SEC, FINRA, MSRB and the applicable state securities and insurance administrators. Excellent oral and written communication skills and the ability to succinctly convey information are required.   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.

Salary : $74,668 - $111,292