Remote Compliance Field Advisor - Financial Services

Farm Bureau Financial Services; Minneapolis (MN); Remote; USD 75,000 - 120,000; Full time

Benefits offered by this job

Enhanced 401K with a match

Low cost health, dental, and vision

Life and disability insurance options

Paid time off, including holidays and,

Company cell phone

Job summary

Farm Bureau Financial Services is seeking a Compliance Field Advisor to conduct market conduct, broker/dealer, investment advisor and insurance compliance examinations. The role involves preparing reports, developing action plans, and training staff across a 75% travel territory, from a home-based office.

You will stay current with FINRA, SEC and Insurance regulations, maintain strong Excel/Word skills, and travel as required.

Qualifications

• College degree or equivalent plus 3 years of broker dealer, investment advisor or insurance compliance experience required.
• FINRA Series 6 (or 7) required at hire; Series 26 (or 24) preferred. If not obtained, Series 7 and 24 required within 4 months of hire.
• Series 66 (or equivalent) preferred.
• Must keep current with FINRA, SEC and Insurance rules and regulations.
• Working knowledge of Microsoft Office, with high accuracy in Excel and Word.
• Be a self-starter and able to work under minimal supervision.
• Attention to detail, excellent time management and organizational skills.
• Valid driver's license required (75% travel with overnight stays)

Responsibilities

• Prepare written reports of office examinations for compliance and management review.
• Develop action plans identifying and addressing areas of potential problems related to company policies and industry regulations.
• Assist in training and development of team members, educating the field force on new and existing compliance issues.
• Audit the effectiveness of procedural changes and provide supervisor training within the assigned territory.
• Assist with the audit workflow and reporting as necessary.
• Create your own schedule while traveling 75% of the time within your assigned territory.
• Work location will be from your home office and the field; this position can be located anywhere within the territory.

Skills

Broker-dealer compliance

Investment advisor

Insurance compliance

FINRA rules

SEC rules

MSRB rules

Attention to detail

Time management

Self-starter

Education

College degree or equivalent

Tools

Microsoft Office

Job description

Farm Bureau Financial Services is seeking a Compliance Field Advisor to conduct market conduct, broker/dealer, investment advisor and insurance compliance examinations. The role involves preparing reports, developing action plans, and training staff across a 75% travel territory, from a home-based office.

You will stay current with FINRA, SEC and Insurance regulations, maintain strong Excel/Word skills, and travel as required.