Regional Compliance & Advisory Supervisor

Farm Bureau Financial Services

United States

Hybrid

USD 90,000 - 130,000

Full time

14 days+

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Benefits offered by this job

Hybrid work arrangement

Competitive benefits package

Enhanced 401(k) with company match

Health, dental and vision benefits

Paid time off and volunteer time

Job summary

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to balance relationship management with regulatory oversight and act as a trusted resource for financial professionals. You will support advisor supervision through annual reviews, guidance, and adherence to policies and regulatory requirements.

The role emphasizes strong leadership, regulatory knowledge, and the ability to conduct field reviews while maintaining audit-ready records.

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.
FINRA 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.
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.