Home Office Supervision Manager

What You'll Do:

In this role, you will lead and mentor supervisors who manage the activities of securities registered representatives and investment adviser representatives at Principal Securities, Inc. (PSI). You will ensure full adherence to FINRA regulations, SEC rules, state laws, and internal policies while maintaining robust supervisory controls. You will also promote clear communication and develop cooperative relationships with PSI’s affiliated managers and financial professionals.

 

• Coordinate, manage, and support a team of supervisors assigned to monitor the broker-dealer and RIA supervision program.
• Serve as the main contact in the Supervision Department for financial professionals and managers, addressing compliance and supervision-related communications, customer complaints, and business conduct issues.
• Assist in developing a shared services model of supervisory oversight.
• Establish positive relationships with managers, registered representatives, investment adviser representatives, and key business partners.
• Guide supervisors in conducting on-site supervisory examinations and provide oversight on compliance matters.
• Lead the review and approval process for new financial professional candidates, home office registered personnel, and non-retail registered representatives.
• Supervise tasks related to Outside Business Activities (OBA), Private Security Transactions (PSTs), Private Securities Accounts (PSAs), disclosures/updates to U-4s, and advanced email reviews.
• Coordinate the review of new business for house accounts and monitor transactions related to these accounts.
• Provide ongoing, individualized supervision and compliance mentoring to supervisors and financial professionals, ensuring availability for questions and brought up issues.
• Perform other job-related duties and special projects as assigned.

 

Working at the junction of financial services and technology, Principal delivers financial tools that enable our customers to live better lives. We take pride in being a mission-focused firm, propelled by our objective to make financial security accessible to everyone. Our mission, integrity, and customer concentration have made us a reliable leader for over 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.
• Demonstrated coaching and leadership skills.
• 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 is remote, unless you are residing within 30 miles from Des Moines, IA, Raleigh, NC, or Charlotte, NC, then it is hybrid (blending at least three office days in a typical workweek). You’ll work with your leader to figure out which option may align best based on several factors.

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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