Regional Supervisory Principal

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

As a Regional Supervisory Principal, you will support advisor supervision by conducting annual reviews, providing guidance to advisors, and helping ensure adherence to firm policies, regulatory requirements, and ethical business practices.

Who We Are:

At Farm Bureau Financial Services, we're more than an insurance company - we're a team committed to serving our client/members and supporting one another. For more than 85 years, we've helped protect the families, homes, vehicles, farms and futures of the people who count on us. We're also committed to creating a workplace where employees feel valued, supported and encouraged to grow. Our culture is grounded in integrity, teamwork, passion, service, leadership and accountability, and we take pride in fostering an environment that is welcoming, collaborative and people-focused.

What You'll Do

• 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 document 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.

What It Takes to Join Our Team

• 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.
• 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.

What We Offer You

We support employees with competitive benefits, thoughtful career development and educational opportunities and, in many positions, the option for a hybrid work arrangement. Our benefits package includes an enhanced 401(k) with company match, low-cost health, dental and vision benefits, and life and disability insurance options. You'll also enjoy paid time off, including holidays and volunteer time. Some of our locations even include onsite wellness facilities with fitness classes and programs, daycare centers, cafeterias and more. Farm Bureau...where your career can take root!

Work Authorization/Sponsorship:

Applicants must be currently authorized to work in the United States on a full-time basis. We are not able to sponsor now or in the future, or take over sponsorship of, an employment visa or work authorization for this role. For example, we are not able to sponsor OPT status.