Assistant Director, Remote Financial Supervision & Risk

Principal Financial Group; Des Moines (IA); Hybrid; USD 127,000 - 171,000; Full time

Job summary

Principal Financial Group is seeking an Assistant Director to lead a supervision team focused on centralized oversight of securities and investment adviser representatives. The role emphasizes risk management, data analytics, and regulatory compliance, with a hybrid work setup and strong collaboration with senior leadership.

The position requires 8+ years in financial services supervision, a Bachelor’s degree, and FINRA licenses (7/24) with Series 65/66 preferred.

Qualifications

• 8+ years of financial services industry experience in Broker-Dealer/RIA supervision, compliance, or risk management.
• Bachelor's degree highly preferred.
• 3+ years of formal or informal leadership experience.
• FINRA Series 7, 24 are required.
• FINRA Series 65 (or 66) license strongly preferred or must obtain within six months of hire.
• Knowledge of publicly and privately traded securities and managed account platforms.
• Familiarity with data visualization tools such as Tableau or Power BI preferred.
• Occasional business travel required (<25%).
• Must be a FINRA associated person with fingerprinting and background check.

Responsibilities

• Lead and manage a team of registered principals for the supervision program, setting performance expectations and ensuring SLA adherence.
• Represent supervision as an SME on initiatives and enhance supervisory processes and systems.
• Develop data-driven supervision strategies and partner with cross-functional teams on datasets and dashboards.
• Build trusted relationships with leaders and financial professionals; monitor and address issues through proper resolution.
• Oversee compliance testing, audits, and regulatory inquiries; ensure timely information gathering and action plan execution.
• Perform other duties and special projects as assigned.

Skills

Leadership

Regulatory knowledge

Data analysis

Communication

Project management

AI tools familiarity

Collaboration

Problem solving

Education

Bachelor's degree

Tools

Tableau

Power BI

Job description

Principal Financial Group is seeking an Assistant Director to lead a supervision team focused on centralized oversight of securities and investment adviser representatives. The role emphasizes risk management, data analytics, and regulatory compliance, with a hybrid work setup and strong collaboration with senior leadership.

The position requires 8+ years in financial services supervision, a Bachelor’s degree, and FINRA licenses (7/24) with Series 65/66 preferred.