Compliance Field Advisor
About The Position
We are seeking a Compliance Field Advisor to join our Compliance team to conduct general market conduct, broker/dealer, investment advisor and insurance company compliance examinations. This involves assessing current practices to reaffirm compliance with market conduct standards and SEC, FINRA and MSRB rules and regulations. Who We Are: At Farm Bureau Financial Services, our client/members can feel confident knowing their family, home, cars and other property are protected. We value a culture where integrity, teamwork, passion, service, leadership and accountability are at the heart of every decision we make and every action we take. We’re proud of our more than 80-year commitment to protecting the livelihoods and futures of our client/members and creating an atmosphere where our employees thrive. What You’ll Do: As a Compliance Field Advisor, you will prepare written reports of the office examination for compliance and management review, and develop action plans identifying and addressing areas of potential problems related to company policies and industry regulations. You will also 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, provide new supervisor training within the assigned territory, and assist with the audit workflow and reporting, as necessary. You will 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, so this position can be located anywhere within the territory. If you pay great attention to detail, are a self-starter, and have excellent time management skills, this is an excellent opportunity for you!
Requirements
- College degree or equivalent plus 3 years of broker dealer, investment advisor or insurance compliance experience required.
- FINRA Series 6 (or 7) required at the time of hire, and Series 26 (or 24) preferred. If not already obtained, Series 7 and 24 are required within 4 months of hire.
- Must keep current with existing and pending FINRA, SEC and Insurance rules and regulations.
- Must have working knowledge of Microsoft Office, with a high degree of accuracy in Excel and Word.
- Be a self-starter and be able to work under minimal supervision.
- Attention to detail, excellent time management and organizational skills required.
- Valid driver’s license required (75% travel with overnight stays required).
Nice To Haves
- Series 66 (or equivalent) preferred.
- FINRA Series 26 (or 24) preferred.
Responsibilities
- Prepare written reports of the office examination 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
- Educate the field force on new and existing compliance issues
- Audit the effectiveness of procedural changes
- Provide new supervisor training within the assigned territory
- Assist with the audit workflow and reporting, as necessary
- Create your own schedule
- Traveling 75% of the time within your assigned territory
Benefits
- enhanced 401K with a match
- low cost health, dental, and vision benefits
- life and disability insurance options
- paid time off, including holidays and volunteer time
- company cell phone
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
