Company: Farm Bureau Financial Services
Location: West Des Moines
Posted on: May 5, 2021
Compliance DirectorDo you have a strong attention to detail? Are
you comfortable managing multiple priorities and regularly working
with upper-level management? Do you have proven compliance
experience in the investment adviser and broker/dealer sectors? If
so, this Compliance Director opportunity may be a great fit for
you! Who We Are: With 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
- Direct compliance activities associated with federal and state
securities regulations for the Company's two investment adviser
firms and broker/dealer firm.
- Monitor legislative and regulatory changes relating to
securities industry rules and make recommendations as
- Research changes in the regulatory environment affecting the
company's business and make recommendations as well as implement
procedural changes as needed to ensure compliance.
- Participate in departmental and interdepartmental task groups
and committees to provide compliance expertise and direction to
ensure all practices and procedures are in compliance.
- Supervise compliance for the review of various investment
adviser reports used to monitor advisory activities.
- Develop and document monitoring criteria and follow-up
procedures. Manage regulatory filings, event disclosures filings,
and regulatory inquiry responses.
- Manage the maintenance and distribution of investment adviser
policies and procedures manuals. Coordinate ongoing advisory
personnel training regarding compliance with industry rules and
firm directives through various channels (video, written and
web-based training).What It Takes to Join Our Team:
- College degree or equivalent plus ten years of relevant
experience required. Regulatory compliance experience, with at
least three years in securities and adviser compliance
- FINRA Registered Representative & Principal required. MSRB
registered principal required.
- Analytical, problem-solving, and strong organizational skills
- Must keep current with existing and pending FINRA, MSRB, SEC
and state insurance rules and regulations.
- Must be knowledgeable regarding Excel, Word, and Outlook.
- Some travel is required (including overnight).
- Oral and written communication skills as appropriate to this
- Reasonably regular and predictable attendance.
- Ability to read, write and speak the English language.What We
Offer You: When you're on our team, you get more than a great
paycheck. You'll 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, and teams who know how to have fun. Farm
Bureau....where the grass really IS greener!If you're 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!Work
Authorization/Sponsorship: Applicants must be currently authorized
to work in the United States on a full-time basis. We are not able
to sponsor now or in the future, or take over sponsorship of, an
employment visa or work authorization for this role. For example,
we are not able to sponsor OPT status.
Keywords: Farm Bureau Financial Services, West Des Moines , Compliance Director, Executive , West Des Moines, Iowa
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