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Compliance Director

Company: Farm Bureau Financial Services
Location: West Des Moines
Posted on: May 5, 2021

Job Description:

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 Do:

  • 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 necessary.
  • 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 preferred.
    • FINRA Registered Representative & Principal required. MSRB registered principal required.
    • Analytical, problem-solving, and strong organizational skills are required.
    • 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 position.
    • 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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