Broker/Dealer Compliance Specialist

---

Job description

As a Broker/Dealer Compliance Specialist at COUNTRY Financial, you will partner with field-based representatives and various business units to drive compliance with SEC, FINRA, MSRB, and federal and state securities laws, rules and regulations. In this role, you will prepare a variety of reports relating to the supervision of the sales activities of our 1,400 securities registered representatives. A Broker/Dealer Compliance Specialist also ensures escalated issues identified during daily correspondence reviews are corrected in a timely and effective manner.

This position develops, implements, and performs regular review of compliance programs for insurance and/or financial services operations, including development and use of risk assessments and self-tests, self-assessments and/or field audits. Develops, maintains and increases expert level of knowledge in key regulated entity and other compliance areas, including working toward and obtaining advanced-level industry licenses, registrations or certifications. Monitors regulatory developments, including new/pending laws, regulations, or bulletins for potential impact to compliance programs, and communicates related information to other business areas and executive management and assists with implementing necessary changes to ensure compliance. Identifies compliance exceptions and works with business areas for follow-up/resolution. Serves as key regulated entity, business area, or enterprise expert; serves as project manager or business analyst on compliance-related issues or complaints and material compliance related projects to ensure proper identification and implementation of solutions that meet the applicable regulator and regulated entity compliance requirements. Develops, secures and implements business area training to help ensure compliance with the regulated entity compliance programs and applicable regulatory requirements.

This position offers a hybrid work schedule and is based out of our corporate offices in Bloomington, IL.

How does a Broker/Dealer Compliance Specialist make an impact?

• Assists and supports the regulated entity in complying with regulatory requirements, as well as the ongoing preparation, testing and monitoring of conformance to such requirements.
• Completes risk assessments. Works with business areas to resolve compliance exceptions. Prepares reports as assigned.
• Monitors compliance trends. Assists in developing methodologies to verify, validate, and document risks, gaps, controls and compliance.
• Provides compliance expertise on a project and consultative basis. Collaborates with business areas and builds and maintains effective relationships.
• Monitors new and pending legislation, regulation, and bulletins with compliance implications. Assists in developing programs, policies, procedures and training to implement and satisfy regulatory requirements.
• Conducts interviews and information gathering, analyzes data and documents findings.
• Performs data analysis and develops related compliance and trade group metrics.
• Requests, compiles, and analyzes information for transmittal of corresponding reports and other documentation required by state or federal law or regulatory authority.

Job Requirements:

Do you have what we're looking for?

• General knowledge of broker/dealer operations and administration.
• Possess analytical ability with a strong proactive approach and problem-solving skills in situations where outcomes may be ambiguous.
• Strong attention to detail and excellent listening skills.
• Articulate and persuasive communicator, both verbally and in writing.
• Typically requires bachelor's degree and at least 2 years of relevant industry or compliance operations/processes experience (or equivalent, such as 4 years of experience or master's degree and no experience).
• Possesses the following FINRA registrations or their equivalents within 90 days of hire:
  • SIE Exam: Securities Industry Essentials
  • Series 6: Investment Company/Variable Contracts Limited Representative
• Possesses the following FINRA registrations or their equivalents with 180 days of hire:
  • Series 63: Uniform State Securities Registration
  • Series 26: Investment Company/Variable Contracts Limited Principal
  • Series 51: Municipal Securities Limited Principal

This position is part of a job family. Placement will be determined by skills and qualifications of the candidate.

Why work with us?

Our employees and representatives serve nearly one million households with our diverse range of personal and business insurance products as well as retirement and investment services. We build relationships and work together to create a stronger, more secure future for our clients and our communities. We're a big company, yet small enough you can make an impact and won't get lost in the shuffle. You'll have the opportunity to learn and grow throughout your career, either within this role or by exploring other areas of our business.

You'll be able to take advantage of our benefits package, which includes insurance benefits (medical, dental, vision, disability, and life), 401(k) with company match, parental leave, paid time off, paid company holidays and time off to volunteer in your community. Please click here to learn more about who we are and the many benefits we offer our employees.

COUNTRY Financial is committed to providing equal opportunity in all areas of employment, and in providing employees with a work environment free of discrimination and harassment. Employment decisions are made without regard to race, color, religion, age, gender, sexual orientation, veteran status, national origin, disability, or any other status protected by applicable laws or regulations.

Come join our team at COUNTRY today!

COUNTRY Financial does not generally sponsor individuals for employment-based visas for this position.

#LI-AH1