School Principal

Alright, let's talk about this role. It's not a school principal; it's a field principal for financial advisors. Think of it as the go to supervisor and compliance expert for a group of Mutual of Omaha advisors in a specific region. You're the person they call when there's a tricky rule question or a complex transaction that needs a second look.

What you'd be doing

You'd oversee the sales activity for Registered Representatives and their offices across your assigned area. That means you're in the weeds with them, partnering on sales execution, financial planning strategies, and how they run their practices.

• Reviewing and approving new accounts, trades, correspondence, and outside business activities. Your stamp means it meets suitability standards and all our firm's rules.
• Keeping an eye on supervisory reports. When something pops up as an exception or an audit finding, you investigate and figure out the right corrective action.
• Acting as the trusted resource on supervision and compliance. Advisors lean on you for guidance, training support, and you help coordinate office inspections when needed.

What you need to bring

This isn't an entry level gig. You need to have been in the trenches for a while.

• A solid 5+ years in securities supervision, compliance, or something very similar within financial services.
• Your FINRA registrations need to be active: Series 7 (or 1), Series 24 (or 9/10), Series 63/65 (or 66), and Series 53. You also have to be able to get and keep required state licenses, IAR registration, principal registration, and bonding.
• A strong working knowledge of FINRA, SEC, and MSRB rules isn't just nice to have; it's essential. You'll use that knowledge daily to analyze sales activity and exception reports.
• The work involves complex priorities and pressure. We need someone who can work independently, make sound decisions based on the rules, and always handle things with confidentiality and professionalism.
• You've got to communicate clearly and lead effectively. You'll engage with all kinds of stakeholders to help resolve issues. There's also some travel involved; up to 10%, sometimes across different time zones.

A quick note on location: we really prefer folks based in Omaha. But if you're near one of our other offices in AZ, CA, CO, FL, IA, IN, KS, MN, MO, SC,TX ,VA , or WI , we can talk . This is a hybrid role , so it 's not fully remote .

If you have this , even better

• More like 5 10 years of direct supervision/compliance experience in securities.
• Registration as a FINRA Registered Options Principal.

The details on pay & benefits

The estimated salary range is $75 ,500 to $100 ,000 , plus there 's an annual bonus opportunity .

• 401(k) plan with a 2% company contribution and a 6% company match .