Regional Compliance & Advisory Leader

Farm Bureau Financial Services; West Des Moines (IA); Hybrid; USD 110,000 - 160,000; Full time

Benefits offered by this job

Hybrid work arrangement

Job summary

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to lead advisor oversight across territories. You will conduct annual reviews, guide advisors, and ensure adherence to firm policies, regulatory requirements, and ethical business practices.

The role emphasizes strong leadership, regulatory acumen, and proactive compliance, with travel to field locations as needed and potential for a hybrid work arrangement.

Qualifications

• Bachelor's degree or equivalent professional experience.
• Minimum of three years supervisory experience in financial services.
• Licenses: FINRA Series 24, Series 7, Series 63; Series 66 or 65 preferred; Life and Health license preferred.

Responsibilities

• Execute supervisory responsibilities in accordance with firm policies, regulatory requirements, and established procedures.
• Promote consistent supervisory practices across territories and advisors.
• Maintain audit-ready supervisory documentation and records.
• Support internal audits, regulatory examinations, and compliance reviews of advisors.
• Identify and document policy or regulatory violations and implement corrective actions.
• Conduct regular supervisory reviews including inspections, file reviews, and social media monitoring.
• Monitor advisor communications for regulatory compliance.
• Review escalated trading concerns and provide recommendations.
• Serve as primary supervisory contact guiding compliant sales practices.

Skills

Leadership

Regulatory knowledge

Analytical skills

Relationship-building

Problem-solving

Independent work

Education

Bachelor's degree or equivalent

Tools

FINRA Series 24

FINRA Series 7

FINRA Series 63

FINRA Series 66/65 preferred

State Life and Health Insurance license preferred

Job description

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to lead advisor oversight across territories. You will conduct annual reviews, guide advisors, and ensure adherence to firm policies, regulatory requirements, and ethical business practices.

The role emphasizes strong leadership, regulatory acumen, and proactive compliance, with travel to field locations as needed and potential for a hybrid work arrangement.