Compliance Principal

MWA Financial Services, Inc., a registered broker/dealer, investment adviser and wholly-owned subsidiary of Modern Woodmen of America is looking for a Compliance Principal. Join a team where compliance is more than oversight. It is a trusted business partnership. As a Compliance Principal, you will collaborate with registered representatives and internal teams to navigate regulatory requirements, monitor business activities, and support critical compliance programs. From reviewing communications and trade practices to improving surveillance processes and systems, you will help protect the firm while enabling responsible business growth.