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Regional Supervisory Principal

Mutual of Omaha

Torrance, CA(remote)

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JOB DETAILS
SALARY
$75,500–$100,000
SKILLS
Communication Skills, Corrective Action, Diversity, Financial Planning, Financial Services, Financial Strategy, Insurance, Leadership, Maintain Compliance, People Management, Problem Solving Skills, Regulatory Compliance, Sales, Sales Analysis, Sales Management, Sales Strategy, Sales Support, Securities, Securities and Exchange Commission (SEC), Series 24, Series 63, Series 7, Strategic Planning, Training/Teaching, Willing to Travel
LOCATION
Torrance, CA
POSTED
10 days ago
Join a team that helps drive advisor success by supporting Mutual of Omaha Advisors’ sales activities across assigned regions. In this role, you’ll work closely with Registered Representatives and Insurance Agents, providing guidance on compliance, sales strategy, and practice management programs. You’ll also serve as an expert resource on industry and distribution topics, offering insight and support that enables advisors to focus on growing their practices. 
 
Omaha‑based candidates are strongly preferred. Candidates located near offices in AZ, CA, CO, FL, IA, IN, KS,  MN, MO, SC, TX, VA, or WI may also be considered. This role requires working in a hybrid environment and is not fully remote. 

WHAT WE CAN OFFER YOU:

  • Estimated Salary:  $75,500- $100,000, plus annual bonus opportunity. 
  • 401(k) plan with a 2% company contribution and 6% company match.
  • Work-life balance with vacation, personal time and paid holidays. See our benefits and perks page for details.
  • Applicants for this position must not now, nor at any point in the future, require sponsorship for employment. 

WHAT YOU'LL DO:

  • Oversee and supervise sales activity for Registered Representatives and Offices of Supervisory Jurisdiction within an assigned region.
  • Partner with advisors and agents to support sales execution, financial planning strategies, and practice management initiatives.
  • Review and approve new accounts, transactions, correspondence, and outside business activities to ensure suitability, compliance, and firm standards.
  • Monitor supervisory reports, investigate exceptions and audit findings, and take appropriate corrective action.
  • Serve as a trusted supervisory and compliance resource, providing guidance, training support, and coordinating office inspections as needed. 

WHAT YOU’LL BRING:

  • 5+ years of experience in a securities supervision, compliance, or related role within the financial services industry.
  • Active FINRA registrations (Series 7 or 1; Series 24 or 9/10; Series 63/65 or 66; Series 53) with the ability to obtain and maintain required state licenses, IAR registration, principal registration, and bonding.
  • Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance.
  • Proven ability to work independently, manage complex priorities, and make sound, rule‑based decisions under pressure while maintaining confidentiality and professionalism.
  • Excellent communication and leadership skills, with the ability to engage diverse stakeholders, support issue resolution, and travel up to 10% with flexibility across time zones.
  • You promote a culture of diversity and inclusion, value different ideas and opinions, and listen courageously, remaining curious in all that you do.
  • Ability to work at our home office located in Omaha, Nebraska or a listed location, in a hybrid environment.  

PREFERRED:

  • 5-10 years of supervision/compliance experience within securities industry 
    Registration as a FINRA Registered Options Principal. 

#mutualofomaha

We value diverse experience, skills, and passion for innovation. If your experience aligns with the listed requirements, please apply! 

If you have questions about your application or the hiring process, email our Talent Acquisition area at

careers@mutualofomaha.com

. Please allow at least one week from time of applying if you are checking on the status.

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Mutual of Omaha only accepts applications from mutualofomaha.com/careers. Legitimate communications will come from '@mutualofomaha.com.' We never request sensitive information or extend job offers without conducting interviews. For more details, check our Hiring FAQs. Stay alert for scams and apply securely!

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About the Company

M

Mutual of Omaha

Mutual of Omaha is a solid, family-oriented company that’s reliable, trustworthy, knowledgeable and caring. We are a full-service, multi-line provider of insurance and financial service products for individuals, businesses and groups throughout the United States. We are committed to providing outstanding service to our policyholders and our dedication to customer service is the cornerstone of our vision and values.

Mission:

Our mission we help our customers protect what they care about and achieve their financial goals.

Vision:

For every customer a financial future imagined, planned, and secured.

Values:

1. We exist for our customers
2. We act with integrity
3. We are innovative
4. We are accountable for results
5. Together we achieve greatness.

Securities offered through Mutual of Omaha Investor Services, Inc., a Registered Broker/Dealer, Member FINRA/SIPC. Advisory services offered through Mutual of Omaha Investor Services, Inc. a SEC Registered Investment Advisory Firm. FINRA (www.finra.org)/ SIPC (www.sipc.org). Home Office Address: Mutual of Omaha Plaza, Omaha, NE 68175. The third-party comments displayed are not verified, may not be accurate and are not necessarily representative of our client experiences. Any links to third-party websites and resources are provided solely as a convenience to you and not as an endorsement of the content. We make no representations or warranties as to the accuracy, timeliness, suitability, completeness, or relevance of any information prepared by any unaffiliated third party. Insurance products and services are offered by Mutual of Omaha Insurance Company or one of its affiliates, Mutual of Omaha Plaza, Omaha, NE 68175. Mutual of Omaha Insurance Company is licensed nationwide. E ach underwriting company is responsible for its own contractual and financial obligations. AFN46357

Specialties

Life Insurance, Disability Insurance, Long Term Care Insurance, Annuities, 401k, Career Opportunities, Employee Benefits, Financial Advisors

COMPANY SIZE
2,500 to 4,999 employees
INDUSTRY
Insurance
FOUNDED
1909
WEBSITE
http://www.mutualofomaha.com

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