Securities Principal

Job Title: Securities Principal

Location: This position is eligible for a hybrid work arrangement.

WoodmenLife is looking to hire a Securities Principal to join our team!In this role, you will provide 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.
Woodmen Financial Services, Inc. (the “Firm”) is presently registered as a broker-dealer with the U.S. Securities and Exchange Commission (the “SEC”), is a member of the Financial Industry Regulatory Authority, (“FINRA”) and licensed or registered with the Securities Administrators of state jurisdictions as required. The Firm currently offers mutual funds, “529 Plans,” variable products, as well as general securities products.

WoodmenLife is one of the best places to work in Omaha with over 135 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:
• 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, 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.
• Meets expectations for attendance and punctuality in accordance with the expectations established by your supervisor and WoodmenLife policy.

We need someone who has:
• 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.
• The ability to provide seamless, trustworthy, attentive and resourceful (S.T.A.R.) customer service.
• Engages well with others and are passionate about providing an exemplary customer experience.

If you're ready to make an impact in your community, we’d love to hear from you. Apply today!


As part of WoodmenLife’s employment process, candidates will be required to complete a criminal background check, credit check (when required for position), fingerprint check (when required for position), drug screen and reference checks. Any offer of employment will be contingent upon successfully passing the above.

WoodmenLife is welcoming to all regardless of background and beliefs. WoodmenLife respects every associate’s unique perspective and contribution. We are committed to creating an 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 it