Regional Compliance & Supervisory Leader

Farm Bureau Financial Services; Minneapolis (MN); On-site; USD 110,000 - 150,000; Full time

Job summary

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to balance relationship management with regulatory oversight across advisor networks. You will conduct annual reviews, guide advisors, and help ensure compliance with firm policies and regulatory requirements.

You will lead supervisory activities, maintain audit-ready records, and support internal and regulatory examinations while promoting ethical conduct and risk awareness across the region. Travel up to 30% is required.

Qualifications

• Bachelor's degree or equivalent professional experience.
• Minimum of three years of relevant supervisory experience.
• 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.

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, 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.

Skills

Leadership

Regulatory knowledge

Analytical skills

Relationship building

Independent work

Education

Bachelor's degree

Tools

FINRA Series 24

FINRA Series 7

FINRA Series 63

FINRA Series 66/65 (preferred)

Job description

Farm Bureau Financial Services is seeking a Regional Supervisory Principal to balance relationship management with regulatory oversight across advisor networks. You will conduct annual reviews, guide advisors, and help ensure compliance with firm policies and regulatory requirements.

You will lead supervisory activities, maintain audit-ready records, and support internal and regulatory examinations while promoting ethical conduct and risk awareness across the region. Travel up to 30% is required.