Compliance Field Advisor

Farm Bureau Financial Services; Colorado Springs (CO); Remote; USD 70,000 - 90,000; Full time

Benefits offered by this job

Enhanced 401K with match

Low cost health, dental, and vision benefits

Paid time off including holidays and volunteer time

Job summary

A leading financial services company in Colorado Springs is looking for a Compliance Field Advisor. Responsibilities include conducting compliance examinations and developing action plans. Candidates should have a college degree and 3 years of relevant experience, along with regulatory certifications. This role requires 75% travel. Competitive benefits offered.

Qualifications

• 3 years of broker dealer, investment advisor or insurance compliance experience required.
• FINRA Series 6 (or 7) required at the time of hire.
• Valid driver's license required for 75% travel.

Responsibilities

• Conduct compliance examinations and prepare reports for management review.
• Develop action plans for compliance with market conduct standards.
• Assist in training and development of team members.

Skills

Attention to detail

Time management

Organizational skills

Self-starter

Education

College degree or equivalent

Tools

Microsoft Office

Excel

Word

Job description

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.

Who We Are: 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.

What You'll Do: As a Compliance Field Advisor, you will prepare written reports of the office examination for compliance and management review, and develop action plans identifying and addressing areas of potential problems related to company policies and industry regulations. You will also 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, and assist with the audit workflow and reporting, as necessary. You will create your own schedule, while traveling 75% of the time within your assigned territory.

If you pay great attention to detail, are a self-starter, and have excellent time management skills, this is an excellent opportunity for you!

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: When you're on our team, you get more than a great paycheck. We offer an enhanced 401K with a match, low cost health, dental, and vision benefits, and life and disability insurance options. We also offer paid time off, including holidays and volunteer time, as well as a company cell phone.

Farm Bureau....where the grass really IS greener! If you're interested in joining a company that appreciates its employees, provides growth and professional development opportunities, and offers great benefits, we invite you to apply today!

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.