Talent.com
Compliance Field Advisor
Compliance Field AdvisorFarm Bureau Financial Services • Santa Fe, NM, US
serp_jobs.error_messages.no_longer_accepting
Compliance Field Advisor

Compliance Field Advisor

Farm Bureau Financial Services • Santa Fe, NM, US
job_description.job_card.variable_days_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
  • serp_jobs.job_card.permanent
job_description.job_card.job_description

Join to apply for the Compliance Field Advisor role at Farm Bureau Financial Services

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.

Who We Are : 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.

What You'll 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.

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 driver's license required (75% travel with overnight stays required).

What We Offer You : When you're on our team, you get more than a great paycheck. 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 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 : At this time, we are not considering candidates that need any type of immigration sponsorship now or in the future, such as additional or permanent work authorization. Applicants must be currently authorized to work in the United States on a full-time, permanent basis.

We are an equal opportunity employer and welcome applications from diverse candidates.

J-18808-Ljbffr

serp_jobs.job_alerts.create_a_job

Compliance Advisor • Santa Fe, NM, US

Job_description.internal_linking.related_jobs
Drive with DoorDash - Onboarding / Onboard

Drive with DoorDash - Onboarding / Onboard

DoorDash • Lamy, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
RN Sign On Bonus

RN Sign On Bonus

University of New Mexico - Hospitals • Sandia Park, NM, US
serp_jobs.job_card.full_time
Relocation Assistance Available.Receive 17% Weekday Nights, 26% Weekend Nights and 15% Weekend Day shift differentials.Compensation for this role is based on a number of factors, including but not ...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Work Control Planner

Work Control Planner

COMPA Industries, Inc. • Los Alamos, NM, US
serp_jobs.job_card.full_time
Active Q Clearance preferred (Not required to start).Mandatory Experience Requirement – Read Before Applying.Bachelor’s degree and a minimum of 5 years of relevant experience.Must be ab...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Clinical Manager (RN) Pediatrics / Full-time

Clinical Manager (RN) Pediatrics / Full-time

CHRISTUS Health • Cerrillos, New Mexico, United States
serp_jobs.job_card.full_time
The Clinical Manager is responsible for direction of clinical services in Pediatrics.Works closely with the Chief Nursing Executive and the Medical Staff leadership to develop, implement, and maint...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Drive with DoorDash - Flexible Onboarding

Drive with DoorDash - Flexible Onboarding

DoorDash • Pena Blanca, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Customs and Border Protection Officer - Entry Level

Customs and Border Protection Officer - Entry Level

U.S. Customs and Border Protection • White Rock, WA, United States
serp_jobs.job_card.full_time
Customs and Border Protection Officer (CBPO).Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of high...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
United States Border Patrol Agent

United States Border Patrol Agent

U.S. Customs and Border Protection • Ohkay Owingeh, New Mexico, US
serp_jobs.job_card.permanent
Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Forestry Technician Crew Member

Forestry Technician Crew Member

Santa Clara Pueblo Administrative • Española, NM, US
serp_jobs.job_card.full_time
Under general supervision of the Forest Project Manager / Crew Boss or Designee.RX) to minimize losses, as well as protecting Santa Clara. Pueblo cultural and natural resources.This job description is...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Compliance Field Advisor

Compliance Field Advisor

Farm Bureau Financial Services • USA, New Mexico, Santa Fe
serp_jobs.job_card.full_time +1
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 involve...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_variable_days
Drive with DoorDash - Flexible Schedule

Drive with DoorDash - Flexible Schedule

DoorDash • Cerrillos, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Dashers - Sign Up and Start Earning

Dashers - Sign Up and Start Earning

DoorDash • Lamy, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Seasonal Beauty Advisor

Seasonal Beauty Advisor

Ulta Beauty, Inc. • Santa Fe, NM, US
serp_jobs.job_card.full_time
A place where the joy of discovery and uncommon artistry blend to create exhilarating buying experiences—for true beauty enthusiasts. At Ulta Beauty, we’re transforming the world one sha...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Customs and Border Protection Officer - Experienced

Customs and Border Protection Officer - Experienced

U.S. Customs and Border Protection • White Rock, WA, United States
serp_jobs.job_card.full_time
Customs and Border Protection Officer (CBPO).Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of high...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Restaurant Delivery - Flexible Onboarding

Restaurant Delivery - Flexible Onboarding

DoorDash • Placitas, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Remote Finance Advisor - AI Trainer

Remote Finance Advisor - AI Trainer

Data Annotation • Santa Fe, New Mexico
serp_jobs.filters.remote
serp_jobs.job_card.full_time +1
We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the q...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Delivery Driver - Flexible Onboarding

Delivery Driver - Flexible Onboarding

DoorDash • Cochiti Lake, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Border Patrol Agent

Border Patrol Agent

U.S. Customs and Border Protection • Sandia Park, New Mexico, US
serp_jobs.job_card.permanent
Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
U.S. Border Patrol Agent

U.S. Border Patrol Agent

U.S. Customs and Border Protection • Pecos, New Mexico, US
serp_jobs.job_card.permanent
Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Restaurant Delivery - Flexible Schedule

Restaurant Delivery - Flexible Schedule

DoorDash • Lamy, NM, United States
serp_jobs.job_card.full_time +1
DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a var...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Border Patrol Agent - Earn up to $30,000 in Recruitment Incentives

Border Patrol Agent - Earn up to $30,000 in Recruitment Incentives

U.S. Customs and Border Protection • Sandia Park, New Mexico, US
serp_jobs.job_card.permanent
Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, p...serp_jobs.internal_linking.show_more
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted