Compliance Field Advisor

This is a remote position. While not required, preferred locations include CO, IA, MN, NE, SD, UT, and WY.

About Us

At Farm Bureau Financial Services, our client/members can feel confident knowing their family, home, cars and other property are protected. We value a culture where integrity, teamwork, passion, service, leadership and accountability are at the heart of every decision we make and every action we take. We're proud of our more than 80-year commitment to protecting the livelihoods and futures of our client/members and creating an atmosphere where our employees thrive.

Responsibilities

• Conduct general market conduct, broker/dealer, investment advisor, and insurance company compliance examinations.
• Assess current practices to reaffirm compliance with market conduct standards and SEC, FINRA, and MSRB rules and regulations.
• Prepare written reports of the office examination for compliance and management review.
• Develop action plans identifying and addressing areas of potential problems related to company policies and industry regulations.
• Assist in the training and development of team members, educating the field force on new and existing compliance issues.
• Audit the effectiveness of procedural changes.
• Provide new supervisor training within the assigned territory.
• Assist with the audit workflow and reporting, as necessary.
• Create your own schedule, while traveling 75% of the time within your assigned territory.

Requirements

• College degree or equivalent plus 3 years of broker/dealer, investment advisor, or insurance compliance experience required.
• FINRA Series 6 (or 7) required at the time of hire, and Series 26 (or 24) preferred. If not already obtained, Series 7 and 24 are required within 4 months of hire.
• Series 66 (or equivalent) preferred.
• Must keep current with existing and pending FINRA, SEC, and Insurance rules and regulations.
• Must have working knowledge of Microsoft Office, with a high degree of accuracy in Excel and Word.
• Be a self-starter and able to work under minimal supervision.
• Attention to detail, excellent time management, and organizational skills required.
• Valid driver's license required (75% travel with overnight stays required).

Benefits

• Enhanced 401K with a match.
• Low-cost health, dental, and vision benefits.
• Life and disability insurance options.
• Paid time off, including holidays and volunteer time.
• Company cell phone.
• Career development and educational opportunities.

Work Authorization: Applicants must be currently authorized to work in the United States on a full-time, permanent basis without requiring sponsorship now or in the future.