Compliance Analyst I

FBL Financial Group, Inc.•West Des Moines, IA

6d•Onsite

About The Position

Farm Bureau Financial Services is seeking a detail-oriented and compliance-driven individual to join their compliance team. In this highly regulated industry, the role focuses on monitoring home office and field activity, reviewing reports to evaluate agent activity and compliance with company policies, procedures, and state/federal laws. The position is responsible for administering disclosure and email review systems, including daily review of associated persons' disclosures and assigned email review groups. It involves close collaboration with field managers to collect correspondence checklists and assists in developing and implementing compliance training for personnel.

Requirements

Strong technical skills, with the ability to learn and adapt quickly to changing technology.
Strong attention to detail.
Ability to maintain compliance with federal, state and other regulatory agencies for insurance companies, broker-dealers and registered investment advisers.
Exceptional time management skills and the ability to prioritize work as demands change.
College degree or equivalent experience required.
Must have a strong attention to detail, along with good research, analytical, organizational and decision-making skills, and the ability to work effectively in a team environment.
Must be proficient in Microsoft Word and Outlook, with advanced Excel skills.
Strong oral and written communication skills.
Reasonably regular and predictable attendance.
Ability to read, write and speak the English language.

Nice To Haves

At least one-year related work experience preferred.
FINRA Series 6/26 or 7/24 preferred at time of hire.
Must be willing to obtain FINRA Series 7 and 24 within four months and the Series 51/53 within 12 months.
Series 65/66 is also recommended.

Responsibilities

Monitor home office and field activity.
Review reports to assist management in evaluating agent activity and overall compliance with company policies and procedures, as well as state and federal laws and regulations.
Administer the disclosure and email review systems, including daily review of associated persons’ disclosures and the assigned email review group.
Work closely with field managers to collect Monthly Correspondence Checklists and annual Manager Checklist Summaries.
Assist with the development and implementation of required compliance training for home office and field personnel.