Remote Compliance Field Advisor – FINRA/SEC Focus

Farm Bureau Financial Services; Denver (CO); On-site; USD 90,000 - 130,000; Full time

Benefits offered by this job

401K with match

Health, dental and vision benefits

Life and disability insurance

Paid time off and holidays

Company cell phone

Job summary

Farm Bureau Financial Services is seeking a Compliance Field Advisor to conduct market conduct, broker/dealer, investment adviser and insurance compliance examinations. The role involves preparing reports, developing corrective actions, and training staff across the territory.

You will travel roughly 75% and work from a home office and field location. A college degree with 3 years of compliance experience is required, plus FINRA licenses or equivalents; Series 7/24 within 4 months is expected.

Qualifications

• College degree or equivalent with 3 years of broker-dealer, investment adviser or insurance compliance experience.
• FINRA Series 6 (or 7) required at hire; Series 26 (or 24) preferred; 7 and 24 required within 4 months.
• Must stay current with FINRA, SEC and Insurance rules; proficiency in Excel and Word.

Responsibilities

• Prepare written reports of office examinations for compliance and management review.
• Develop action plans identifying and addressing areas of potential problems related to policies and regulations.
• Assist in training and development of team members and educate the field on compliance issues.
• Create your schedule and travel about 75% within the assigned territory; work from home and field.

Skills

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 adviser and insurance compliance examinations. The role involves preparing reports, developing corrective actions, and training staff across the territory.

You will travel roughly 75% and work from a home office and field location. A college degree with 3 years of compliance experience is required, plus FINRA licenses or equivalents; Series 7/24 within 4 months is expected.