Broker/Dealer Compliance Specialist

2 months ago


Bloomington, United States Country Financial Group Full time

Job Description - Broker/Dealer Compliance Specialist (210537) ****

Broker/Dealer Compliance Specialist **Job Number:**

210537 **Primary Location**

: US-IL-Bloomington 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.**

* 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.

* 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 bachelors 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**.*

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. Were a big company, yet small enough you can make an impact and wont get lost in the shuffle. Youll have the opportunity to learn and grow throughout your career, either within this role or by exploring other areas of our business.

Youll 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 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



  • Bloomington, Illinois, United States Freddie Mac Full time

    At Freddie Mac, you will do important work to build a better housing finance system and you'll be part of a team helping to make homeownership and rental housing more accessible and affordable across the nation. Employees, contingent workers and visitors are no longer required to show proof of vaccination to be on-site. Effective January 2023, Freddie Mac's...


  • Bloomington, United States Page Mechanical Group Inc Full time

    National Grid Renewables, which includes the renewables development company formerly known as Geronimo Energy, is a leading North American renewable energy company based in Minneapolis, Minnesota, with satellite offices located in the regions where it develops, constructs, and operates renewable energy projects. As a farmer-friendly and community focused...

  • Marketing Lead

    2 months ago


    Bloomington, United States Penn Foster Inc Full time

    Ziegler CAT has a full time opening for a Marketing Lead & Sales Specialist to contacts business prospects and customers to identify opportunities and generate sales leads for dealer equipment, machine, products, and parts or services (“dealer solutions”). These leads are worked by the Marketing Lead & Sales Specialist to generate a higher level of...

  • Marketing Lead

    2 months ago


    Bloomington, United States Ziegler Cat Full time

    Ziegler CAT has a full time opening for a Marketing Lead & Sales Specialist to contacts business prospects and customers to identify opportunities and generate sales leads for dealer equipment, machine, products, and parts or services ("dealer solutions"). These leads are worked by the Marketing Lead & Sales Specialist to generate a higher level of...


  • Bloomington, United States HealthPartners Full time

    HealthPartners/GHI Non-Union Non-Exempt Job Description JOB CODE: 129847 POSITION TITLE: Account Support Specialist DATE CREATED: LAST REVISED: August 2016 July 2018 DEPARTMENT: Sales REPORTS DIRECTLY TO: Manager, Sales Position purpose: New sales support: The position has accountability for supporting the large group new sales business process. The position...


  • Bloomington, United States Toyota Material Handling Full time

    About the Job: All the relevant skills, qualifications and experience that a successful applicant will need are listed in the following description. The Parts Business Development Specialist will be responsible for developing, utilizing and enhancing a wide range of data and program information and collaboratively working with suppliers and the TMH Dealer...


  • Bloomington, United States HealthPartners Full time

    HealthPartners/GHINon-Union Non-Exempt Job DescriptionJOB CODE: 129847 POSITION TITLE: Account Support Specialist DATE CREATED: LAST REVISED: August 2016 July 2018 DEPARTMENT: Sales REPORTS DIRECTLY TO: Manager, Sales Position purpose:New sales support: The position has accountability for supporting the large group new sales business process. The position...


  • Bloomington, United States BOSS Plow Full time

    Trade Compliance Analyst - The Toro Company Who Are We? The Toro Company is a homegrown, Minnesota-based company that has been in business since 1914. We pride ourselves on providing world-class equipment to help maintain the environment that we love, while putting an emphasis on giving back to the communities that surround us. From residential lawns and...


  • Bloomington, United States Afni Full time

    The Arbitration Subrogation Specialist is responsible for the recovery of subrogation claims from insurance carriers and self-insured entities. These claims could also involve multiple tortfeasors. The majority of these claims would be carrier to carrier claims but the incumbent could also work consumer, auto, property and medial/PIP claims if the workload...

  • Marketing Lead

    2 months ago


    Bloomington, United States Ziegler Cat Full time

    Ziegler CAT has a full time opening for a Marketing Lead & Sales Specialist to contacts business prospects and customers to identify opportunities and generate sales leads for dealer equipment, machine, products, and parts or services ("dealer solutions"). These leads are worked by the Marketing Lead & Sales Specialist to generate a higher level of...


  • Bloomington, United States Schwan's Full time

    Responsible for establishing controls, processes and procedures pertinent to various trades spend programs, ensuring compliance with internal guidelines and accounting rules. Works directly with customers, brokers and sales team to resolve discrepanc Operations Supervisor, Operations, Finance, Customer, Supervisor, Skills, Manufacturing


  • Bloomington, United States Tristar Full time

    TRISTAR is seeking an Information Security Specialist II for our government customer in Bloomington, IN Position Description: The Information Security Specialist II will provide software support for CAC2S patching and scanning This includes monthly maintenance of software baselines to maintain IA compliance Perform regressive compliance scanning, this...


  • Bloomington, United States Invictus Capital Partners Verus Mortgage Capital Full time

    Job DescriptionJob DescriptionDescriptionA Wholesale National Account Executive with Verus Mortgage Capital plays a pivotal role in both nurturing existing client relationships and actively generating new business opportunities. Your responsibilities extend beyond maintaining accounts to include identifying and pursuing prospective clients in the wholesale...

  • Quality Specialist

    3 days ago


    Bloomington, United States Sterling Engineering Full time

    Title: Quality Product SpecialistJob Summary:As the Quality Product Specialist you will uphold the integrity and top-notch quality of all of our products. Positioned on the production floor, you will oversee production activities to ensure compliance with quality standards, GMPs, and Food Safety regulations.Job Duties:Inspect finished product output to...


  • Bloomington, United States COUNTRY Financial Full time

    As a Regulatory Government Affairs Specialist at COUNTRY Financial, you will have the opportunity to work with colleagues across the enterprise on legislative and regulatory items of impact to the organization. You will be part of a team that supports the priorities of the organization by working with external trade groups to advocate on our behalf. You will...


  • Bloomington, United States COUNTRY Financial Full time

    As a Regulatory Government Affairs Specialist at COUNTRY Financial, you will have the opportunity to work with colleagues across the enterprise on legislative and regulatory items of impact to the organization. You will be part of a team that supports the priorities of the organization by working with external trade groups to advocate on our behalf. You will...


  • Bloomington, United States Tristar Full time

    Company: TRISTAR (Tri Star Engineering, Inc.) Apply for position at: Location: US IN -Bloomington Employee Type: Full-Time/ Exempt Travel Required: Yes - 10% Relocation Accommodation: No Approximate Start Date: Upon Suitable Candidate Selection Posting Close: Upon Suitable Candidate Selection TRISTAR is seeking a Information Security Specialist II for our...


  • Bloomington, United States Tristar Full time

    Company: TRISTAR (Tri Star Engineering, Inc.)Apply for position at: www.star3.comLocation: US IN -BloomingtonEmployee Type: Full-Time/ ExemptTravel Required: Yes - 10%Relocation Accommodation: NoApproximate Start Date: Upon Suitable Candidate SelectionPosting Close: Upon Suitable Candidate SelectionTRISTAR is seeking a Information Security Specialist II for...


  • Bloomington, United States Sterling Engineering Inc. Full time

    Job DescriptionJob DescriptionTitle: Quality Product SpecialistLocation: Bloomington, ILOverview:Sterling has helped build careers for thousands for professionals like yourself. Our expert recruiters support you at every step in the process and as a Best of Staffing company, Sterling provides exciting work with exceptional employers across the U.S.Hire Type:...


  • Bloomington, United States Scenario Cockram Full time

    Job DescriptionJob DescriptionAbout Cockram Construction:Cockram Construction, established in 1861, is a globally recognized, management-owned construction services company headquartered in Melbourne, Australia. With a presence in the USA, Australia, China, India, and New Zealand, we deliver top-tier services to clients in high-tech and demanding industries....