Remote Compliance Field Examiner (FINRA/SEC)

Farm Bureau Financial Services; Sioux Falls (SD); On-site; USD 75,000 - 110,000; Full time

Benefits offered by this job

Enhanced 401K match

Health, dental, vision benefits

Life and disability insurance

Paid time off

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 developing plans, training field staff, auditing procedures, and reporting findings.

You will travel about 75% within your territory and operate from a home office/field location. Requirements include college degree and 3 years of relevant compliance experience, FINRA series licenses, and strong MS Office

Qualifications

• 3 years of broker dealer, investment advisor or insurance compliance experience.
• FINRA Series 6 (or 7) required at hire; Series 26 (or 24) preferred; Series 7 and 24 required within 4 months.
• Current knowledge of FINRA, SEC and Insurance rules and regulations.

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 the training and development of team members, educating the field force on new and existing compliance issues.
• Audit the effectiveness of procedural changes and assist with the audit workflow and reporting.
• Travel approximately 75% within the assigned territory; work from home office and field location.

Skills

Attention to detail

Time management

Organizational skills

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 developing plans, training field staff, auditing procedures, and reporting findings.

You will travel about 75% within your territory and operate from a home office/field location. Requirements include college degree and 3 years of relevant compliance experience, FINRA series licenses, and strong MS Office