Field Supervisor 2

We’re looking for a Field Supervisor 2 to join our Principal Securities Broker Dealer team. In this role, you'll review the most complex transactions in products offered by Principal Securities to ensure they are consistent with firm standards and adhere to regulations, while maintaining customer experience by completing reviews in a timely and accurate manner. 

• Review new securities business submitted by financial professionals to ensure compliance with firm standards and applicable regulatory requirements. 

• Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log. May handle some escalated issues. This may involve reviewing financial plans, analyzing products, and communicating with our Principal Advisor Network. 

• Act as a lead in liaison duties between Principal Securities Supervision and various Operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. 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. 

• Maintain comprehensive knowledge of all securities products and services offered by Principal Securities, and system capabilities of Principal Securities. This includes maintaining a sound understanding of applicable rules and regulations and system capabilities.
  

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!

• 4+ years of financial services experience, including prior experience directly supervising financial professionals within a Broker-Dealer/RIA environment. 

• Bachelor degree or equivalent work experience required. 

• FINRA Series 7, 24, 66 (63+65) License(s) required, with the ability to meet firm standards for registration within applicable jurisdictions. 

• Strong understanding of public and privately traded securities, along with managed account platforms. 

• Working knowledge of the Investment Advisers Act of 1940 and applicable FINRA regulations. 

• Ability to travel for business as needed, up to 25%. 

• Must be a FINRA associated person, which requires fingerprinting and a full background check. 

Skills That Will Help You Standout 

• FINRA Series 4, 53, and/or Life & Health insurance licenses preferred. 

• Experience working within a dual-registered Broker-Dealer and Registered Investment Adviser environment. 

• Collaborative team player who brings initiative, adaptability, sound judgment, and a strong commitment to supporting clients and colleagues. 

• Strong organizational skills with the ability to manage multiple priorities and deadlines while adapting effectively as business needs shift. 

• Project management experience. 

Location

This role is supporting the Mid-Atlantic region and is hiring remotely within the state of Delaware, Maryland, New Jersey, Pennsylvania or Virgina.

Work Authorization/Sponsorship

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Code of Ethics

For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out 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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