Compliance Field Advisor

Farm Bureau Financial Services; Minneapolis (MN); Remote; USD 75,000 - 120,000; Full time

Benefits offered by this job

Enhanced 401K with a match

Low cost health, dental, and vision

Life and disability insurance options

Paid time off, including holidays and,

Company cell phone

Job summary

Farm Bureau Financial Services is seeking a Compliance Field Advisor to conduct market conduct, broker/dealer, investment advisor and insurance compliance examinations. The role involves preparing reports, developing action plans, and training staff across a 75% travel territory, from a home-based office.

You will stay current with FINRA, SEC and Insurance regulations, maintain strong Excel/Word skills, and travel as required.

Qualifications

• College degree or equivalent plus 3 years of broker dealer, investment advisor or insurance compliance experience required.
• FINRA Series 6 (or 7) required at hire; Series 26 (or 24) preferred. If not obtained, Series 7 and 24 required within 4 months of hire.
• Series 66 (or equivalent) preferred.
• Must keep current with FINRA, SEC and Insurance rules and regulations.
• Working knowledge of Microsoft Office, with high 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.
• Valid driver's license required (75% travel with overnight stays)

Responsibilities

• Prepare written reports of office examinations for compliance and management review.
• Develop action plans identifying and addressing areas of potential problems related to company policies and industry regulations.
• Assist in training and development of team members, educating the field force on new and existing compliance issues.
• Audit the effectiveness of procedural changes and provide 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; this position can be located anywhere within the territory.

Skills

Broker-dealer compliance

Investment advisor

Insurance compliance

FINRA rules

SEC rules

MSRB rules

Attention to detail

Time management

Self-starter

Education

College degree or equivalent

Tools

Microsoft Office

Job description

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

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

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. 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.

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 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. 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
• Company cell phone

Farm Bureau....where the grass really IS greener!

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.