Regional Compliance & Advisor Supervisor

Farm Bureau Financial Services; Omaha (NE); Hybrid; USD 90,000 - 120,000; Full time

Benefits offered by this job

Hybrid work arrangement

Enhanced benefits package

Job summary

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to lead advisor oversight and ensure compliance with firm policies and regulations. You will conduct annual reviews, provide guidance to advisors, and support internal audits while upholding ethical business practices.

The role requires a minimum of three years supervisory experience, FINRA licenses, and knowledge of FINRA/SEC regulations. Some travel to field locations is expected in this hybrid environment.

Qualifications

• Bachelor's degree or equivalent professional experience required.
• Minimum of three years of relevant supervisory experience required.
• FINRA Series 24, Series 7, and Series 63 licenses required.
• Series 66 or Series 65 license preferred.
• State Life and Health Insurance license preferred.
• Strong knowledge of FINRA, SEC, and applicable state regulations.
• Demonstrated experience applying supervisory procedures and regulatory requirements in a financial services environment.
• Proven ability to drive consistency and effectiveness through established supervisory processes and frameworks.
• Strong analytical, investigative, and problem-solving skills.
• Strong leadership and relationship-building abilities.
• Ability to manage multiple priorities and work independently.
• Travel up to 30%, including overnight travel, is required.

Responsibilities

• Execute supervisory responsibilities in accordance with firm policies, regulatory requirements, and established supervisory procedures.
• Promote consistent supervisory practices across assigned territories and advisors.
• Maintain complete, accurate, and audit-ready supervisory documentation and records.
• Support internal audits, regulatory examinations, and compliance reviews of advisors.
• Identify, document, and elevate potential violations of firm policies or regulatory requirements, and implement appropriate corrective actions.
• Conduct regular supervisory reviews of assigned advisors, including office inspections, client file reviews, and social media searches.
• Monitor advisor emails and client communications to ensure compliance with regulatory standards and firm supervisory procedures.
• Review escalated trading concerns, document findings, and provide recommendations in accordance with supervisory guidelines.
• Serve as the primary supervisory contact for assigned advisors, providing guidance, support, and real-time coaching on compliant sales practices.
• Maintain up-to-date knowledge of regulatory requirements, firm policies, and supervisory procedures effectively applying them in daily supervisory activities.
• Promote a culture of ethical conduct, risk awareness, accountability, and proactive compliance throughout the firm.
• Travel to field locations as needed to conduct reviews, inspections, meetings, and training activities.

Education

Bachelor's degree or equivalent professional experience

Tools

FINRA Series 24

FINRA Series 7

FINRA Series 63

FINRA Series 66 or 65

State Life and Health Insurance license

Job description

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to lead advisor oversight and ensure compliance with firm policies and regulations. You will conduct annual reviews, provide guidance to advisors, and support internal audits while upholding ethical business practices.

The role requires a minimum of three years supervisory experience, FINRA licenses, and knowledge of FINRA/SEC regulations. Some travel to field locations is expected in this hybrid environment.