Compliance Field Advisor

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

About the role

We are seeking a Compliance Field Advisor to join our Compliance team to conduct general market conduct, broker/dealer, investment advisor and insurance company compliance examinations. This involves assessing current practices to reaffirm compliance with market conduct standards and SEC, FINRA and MSRB rules and regulations.

What You'll Do

• 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
• Auxiliary in the training and development of team members
• Provide education on new and existing compliance issues to the field force
• 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
• Work location will be from your home office and the field, so this position can be located anywhere within the territory

What It Takes To Join Our Team

• 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 be 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)

What We Offer You

• 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
• A company cell phone

Work Authorization/Sponsorship

At this time, we are not considering candidates that need any type of immigration sponsorship now or in the future, such as additional or permanent work authorization. Applicants must be currently authorized to work in the United States on a full-time, permanent basis. We are not able to sponsor now or in the future, or take over sponsorship of, an employment visa or work authorization for this role. For example, we are not considering candidates with OPT status.