Field Supervisor 2 (Midwest)

Join Principal Financial Group as a Field Supervisor 2! You’ll review complex Principal Securities transactions to ensure compliance, deliver a high-quality customer experience, and partner closely with Compliance and Operations to support smooth processes and reporting.

• Review and follow-up on field supervision items including review and approval of general business submitted by our Financial Professionals.
• Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
• Assist in the scheduling, preparation, and follow-up of annual visits.
• Keep up-to-date expertise on all securities products and services available through Principal Securities, as well as the system features of Principal Securities.
• Maintain a solid grasp of relevant rules and regulations alongside system capabilities.
• Informally lead the team by training and mentoring newer members to the team and maintain an open and approachable attitude to help foster a collaborative team environment.

Positioned where financial services meet technology, Principal creates financial tools that assist our customers in living better lives. We are proud to be a purpose-oriented organization, guided by our mission to ensure financial security is within everyone's reach. Our mission, integrity, and customer dedication have made us a reliable leader for more than 140 years! 

• FINRA Series 7, 24, & 66 required. Series 4 & 53 preferred.
• Bachelor degree or equivalent; 4+ years of prior work related experience.
• Strong knowledge of all securities products including Stocks, Bonds, Mutual Funds, & Annuities.
• Goal oriented and results driven with strong leadership, communication, and time management skills.
• High degree of accuracy with a strong attention to detail.
• Ability to work independently in a fast-paced work environment to meet deadlines.
• Must be a FINRA associated person, which requires fingerprinting and a full background check.

The following locations are examples of market-specific salary ranges across different geographies. 

• Grand Island, NE: $84,600 - $114,300 / year
• Des Moines, IA: $89,300 - $120,650 / year
• Dallas, TX: $94,000 - $127,000 / year
• Minneapolis, MN: $103,400 - $139,700 / year

Location

This role requires residency in the Midwest (ND, SD, MN, WI, NE, IA, IL, KS, MO, OK, AR, LA, or TX).

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.

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