Compliance Field Advisor

Compliance Field Advisor

We are seeking a Compliance Field Advisor to join our Compliance team to conduct general market conduct brokerdealer 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 clientmembers 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. Were proud of our more than 80-year commitment to protecting the livelihoods and futures of our clientmembers and creating an atmosphere where our employees thrive.

What Youll 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

What It Takes to Join Our Team

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. Series 66 or equivalent preferred. 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 drivers license required 75 travel with overnight stays required.

What We Offer You

When youre on our team you get more than a great paycheck.Youll hear about career development and educational opportunities.We offer an enhanced 401K with a match low cost health dental and vision benefits and life and disability insurance options. We also offer paid time off including holidays and volunteer time as well as a company cell phone.Farm Bureau....where the grass really IS greener

If youre interested in joining a company that appreciates its employees provides growth and professional development opportunities and offers great benefits we invite you to apply today