Remote Compliance Field Advisor: Regulatory Audits

Farm Bureau Financial Services; Fargo (ND); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

401K with match

Health, dental, and vision insurance

Life and disability insurance

Paid time off

Company cell phone

Volunteer time

Job summary

Farm Bureau Financial Services is seeking a Compliance Field Advisor to join our Compliance team to conduct market conduct, broker/dealer, investment adviser and insurance compliance examinations. This role travels 75% of the time within the assigned territory and works from home and in the field.

You will prepare written reports, develop action plans, train teammates, audit workflows, and ensure adherence to FINRA, SEC, MSRB rules.

Qualifications

• College degree or equivalent plus 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 within 4 months.
• Series 66 (or equivalent) preferred.
• Must keep current with FINRA, SEC and Insurance rules.
• Proficient in Microsoft Office; high accuracy in Excel and Word.
• Self-starter able to work with minimal supervision.
• Attention to detail and strong time-management skills.
• Valid driver's license; travel approx. 75% with overnight stays.

Responsibilities

• Prepare written reports of office examinations for compliance and management review.
• Develop action plans addressing areas of potential problems per policies and regulations.
• Assist in training and development of team members; educate field force on new issues.
• Audit workflow and reporting; assist with supervision training within territory.
• Create schedule and travel extensively; work from home office and field.

Skills

FINRA Series 6/7

Series 26/24

Series 66

Microsoft Office

Excel and Word

Attention to detail

Time management

Self-starter

Driver's license

Education

College degree or equivalent

Tools

None

Job description

Farm Bureau Financial Services is seeking a Compliance Field Advisor to join our Compliance team to conduct market conduct, broker/dealer, investment adviser and insurance compliance examinations. This role travels 75% of the time within the assigned territory and works from home and in the field.

You will prepare written reports, develop action plans, train teammates, audit workflows, and ensure adherence to FINRA, SEC, MSRB rules.