Compliance Field Advisor

Farm Bureau Financial Services; Salt Lake City (UT); Remote; USD 70,000 - 90,000; Full time

Benefits offered by this job

Enhanced 401K with a match

Health, dental, and vision benefits

Paid time off

Company cell phone

Job summary

Join a leading company as a Compliance Field Advisor, where you will conduct compliance examinations, prepare reports, and train team members. This role requires travel within your assigned territory and offers a supportive environment for professional growth.

Qualifications

• 3 years of broker dealer, investment advisor, or insurance compliance experience required.
• FINRA Series 6 (or 7) required at the time of hire.

Responsibilities

• Conduct compliance examinations and prepare written reports.
• Assist in training team members on compliance issues.

Skills

Attention to detail

Time management

Organizational skills

Education

College degree or equivalent

Tools

Microsoft Office

Job description

Join to apply for the Compliance Field Advisor role at Farm Bureau Financial Services.

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.

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, auditing the effectiveness of procedural changes, providing new supervisor training within the assigned territory, and assisting 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 state of Colorado.

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 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. You'll hear about career development and educational opportunities. 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!