Compliance Field Advisor

FBL Financial Group, Inc.

53d•Remote

About The Position

This is a remote position. While not required, preferred locations include CO, IA, MN, NE, SD, UT, and WY. 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. 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.

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.
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 driver’s license required (75% travel with overnight stays required).
Applicants must be currently authorized to work in the United States on a full-time, permanent basis.

Nice To Haves

FINRA Series 6 (or 7) required at the time of hire, and Series 26 (or 24) preferred.
Series 66 (or equivalent) preferred.

Responsibilities

Conduct general market conduct, broker/dealer, investment advisor and insurance company compliance examinations.
Assess current practices to reaffirm compliance with market conduct standards and SEC, FINRA and MSRB rules and regulations.
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.