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.

Work location will be from your home office and the field, so this position can be located anywhere within the 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 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).

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/Sponsorship: At this time, we are not considering candidates that need any type of immigration sponsorship now or in the future. Applicants must be currently authorized to work in the United States on a full-time, permanent basis.