MOIS Licensing Coordinator - Omaha, NE
Mutual of Omaha Companies Omaha, NE
|Manages MOIS (Mutual of Omaha Investor Services) 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 process. In addition, this job assists in the creation of MOIS' needs based analysis and written training plans to ensure compliance with regulatory requirements.
Essential Job Functions:
- Oversees the registration and licensing processes of Registration Representatives, Investment Advisory Representatives and non-registered personnel. Coordinates associate on-boarding, renewals, and termination through interaction with field management and home office employees.
- Provides excellent internal and external customer service. Meets 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 requirements. This includes distributing frequent communication intended to ensure compliance with regulatory requirements and MOIS time-frames.
- Assists in the coordination and development of the annual needs based analysis for MOIS firm element continuing education. This 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 RegEd. Responsible for ensuring updated information is supplied by MOIS Registered Representatives within the prescribed renewal time-frames.
- Coordinates the delivery and tracking of various training tools and documents to MOIS' Home Office employees and field personnel. Additional 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 processes. Provides due diligence support by obtaining and disseminating financial and credit reports along with CRD disciplinary information.
- This position requires sitting over 66% of the time.
- This position requires Visual Acuity at 20 inches (or less) over 66% of the time.
- Registration as a FINRA General Securities Representative within the shorter time-frame of 120 days or after three attempts at the SIE and Series 7 exam.
- Ability to meet ongoing continuing education requirements
- 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
- Eligible to be bonded and remain bonded
- Registration as a General Securities Principal
- Registration as an Investment Advisor Representative
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 disability. To request an accommodation, contact a Human Resources Representative at 1-800-780-0304. We are available Monday through Friday 7 am to 4:30 pm CST.
For all other inquiries, contact our HR Helpline at 1-800-365-1405.
Mutual of Omaha and its affiliates are an Equal Opportunity /Affirmative Action Employer, Minorities/Female/Disabled/Veteran
To All Recruitment Agencies: We do not accept unsolicited agency resumes and we are not responsible for any fees related to unsolicited resumes.
| Date Posted
November 30, 2018
| Date Closes
December 30, 2018
| Located In
| Job Type
| SOC Category