• Job Description

  Req#: SUPER001603

  Ready to lead with purpose and precision? Modern Woodmen is seeking a highly motivated and detail-oriented Licensing supervisor to join MWA Financial Services, Inc., a registered broker/dealer, investment adviser and wholly owned subsidiary of Modern Woodmen of America. This role is critical in ensuring compliance with securities regulations and supporting the operational integrity of our Broker-Dealer and Registered Investment Adviser (RIA) functions. You will lead a team responsible for licensing, registration, and regulatory reporting, while also contributing to the development and implementation of key policies and procedures.

  Modern Woodmen of America is one of the nation’s largest fraternal benefit societies, with over $18 billion assets. Fraternals are unique membership organizations 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:

  • Oversee and support the development and execution of licensing and registration policies for the Broker-Dealer and RIA.
  • Manage onboarding and annual renewal programs for associated persons and representatives.
  • Conduct due diligence reviews and approvals for prospective representatives.
  • Respond to regulatory inquiries and examinations; file reports as required.
  • Resolve U4 and ADV disclosures and inquiries.
  • Collaborate on technical solutions to streamline onboarding and registration processes.
  • Provide leadership, training, and development to direct reports.
  • Support the Licensing Manager with strategic and operational initiatives.

  What we need:

  • Bachelor’s degree in Finance, Accounting, Business Administration, or equivalent experience.
  • Active FINRA Series exams: FINRA SIE, Series 7, Series 24, and Series 66 or willingness to obtain them within 18 months of hire.
  • 5+ years’ experience in securities, finance, regulatory, or auditing roles.
  • Strong knowledge of FINRA and SEC regulations.
  • Strong critical thinking and research skills.
  • Excellent interpersonal, written, and verbal communication.
  • Ability to organize, prioritize, and work independently.
  • Proactive problem-solving and decision-making.
  • Effective leadership with a focus on clarity and purpose.

  What we offer:

  • Pay: The annual pay range for this position is $70,000-$80,000. The specific rate will depend on the successful candidate’s qualifications and prior experience.
  • Work Arrangements: This is a full-time, hybrid, salaried position. Hybrid positions work at least three days in office and the remaining days each week working from home. Employees beginning to work in a new hybrid role will be asked to work on-site (five days a week) during the initial training period which may be up to one year.
  • Stability: Modern Woodmen has been Modern Since 1883® and exists for our members. We make long-term decisions that provide stability for 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 is 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 premiums 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.

  Equal Opportunity Employer
  This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

• About the company

  Together, Modern Woodmen can help you achieve your financial goals with life insurance, annuities, investments and more. As a fraternal organization, we also give back to communities and those we serve.

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