Regional Supervision Manager (West Coast)

What You'll Do:

In this key position, you will lead and mentor a team of registered principals who supervise and monitor business activities of securities registered representatives and investment adviser representatives affiliated with Principal Securities, Inc. (PSI). You will ensure compliance with FINRA regulations, SEC rules, state laws, and internal policies while maintaining strong supervisory controls. Additionally, you will promote clear communication and relationship building with PSI’s affiliated sales managers and financial professionals.

 

• Manage, supervise, and lead registered principals for an assigned region, coordinating the monitoring of retail-facing Financial Professionals.
• Serve as the main contact in the Supervision Department for the field, field leaders, and supervision-related communications, customer complaints, and business conduct issues.
• Monitor timings and conduct capacity planning to ensure the efficient completion of new business reviews.
• Establish positive relationships with field leaders, financial professionals, and key business partners.
• Provide mentorship on conducting OSJ visits via remote inspection or travel to affiliated branch offices as needed to perform on-site assignments.
• Conduct budget forecasting and expense management for travel and on-site related expenses.
• Supervise and guide the reviews of Outside Business Activities (OBA) and Doing Business As (DBA) disclosures from financial professionals.
• Coordinate quarterly social media reviews and monitoring to ensure they are completed accurately and timely.
• Manage the review and completion of exception and surveillance reports.
• Represent supervision as a subject matter expert in internal business initiatives and manage assigned vendor relationships.
• Supervise all quality control reports, financial representative trends, and any potential heightened supervision issues.
• Perform other job-related duties and special projects as assigned.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Who You Are:

• 10+ years of financial services industry experience with roles in Broker-Dealer/RIA supervision, compliance, or risk management.
• Minimum of 5 years management experience.
• Active Securities licenses: FINRA Series 7, 24, 66 (63+65).
• Series 4, 53 and insurance licenses to be acquired within 12 months.
• Strong verbal and written communication skills and public speaking skills.
• Advanced analytical skills, including the ability to interpret data, identify trends, evaluate risks, and develop sound recommendations.
• Self‑starter with a high degree of initiative.
• Solid understanding of general securities, managed account platforms and insurance products, as well as Investment Adviser’s Act of 1940 and FINRA regulations.
• Business travel as needed, 10 to 20%.

 

Salary Range Information: Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range: $127000 - $171000 / year Time Off Program: Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible: Yes Additional Information:

Location

This role requires residency on the West Coast (WA, MT, OR, ID, WY, CA, NV, UT, CO, AZ, NM, AK, or HI).

Work Authorization/Sponsorship

At this time, we are not considering applicants who require any form of immigration sponsorship to work in the United States now or in the future. This includes F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and similar visas. For more information on work authorization requirements, please use the following links:

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Ethics Code

In Principal Asset Management positions, you are required to observe an Investment Code of Ethics regarding conduct and personal trading for yourself and those living with you. Other positions within the organization may have similar obligations.

Experience Principal

At Principal, we believe in forming connections both personally and professionally. Together, we’re crafting a future for financial services that is guided by purpose – and that begins with you. Our success depends on the outstanding experiences, backgrounds, and talents of our employees. We provide support to our employees in the same way as our customers. Our inclusive and competitive benefits protect physical, financial, and social well-being. Check our careers site to learn more about our purpose, values, and benefits.

Principal is an Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Date First Posted (TTF): 2/23/2026 Latest Post Date: Careers - US: 2/23/2026

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