Assistant Director, Supervisory Risk & Data Insights

Principal International; United States; Hybrid; USD 127,000 - 171,000; Full time

Job summary

Principal International is seeking an Assistant Director to join the Supervision team. You will lead a team of registered principals responsible for centralized supervision, oversight, and monitoring of business conducted by securities representatives and investment adviser representatives.

You’ll ensure work is completed in accordance with team SLAs, policies, procedures, and applicable regulatory requirements.

Qualifications

• 8+ years in financial services supervision, compliance, or risk management.
• Bachelor's degree highly preferred.
• 3+ years of formal or informal leadership experience.
• FINRA Series 7 and 24 required; Series 65/66 strongly preferred or must obtain within six months.
• Experience with data visualization tools (Tableau/Power BI) preferred.

Responsibilities

• Lead a team of registered principals responsible for daily supervision activities and SLAs.
• Represent supervision as SME on initiatives and enhance processes and controls.
• Design data-driven supervision strategies with dashboards and metrics.
• Build trusted relationships with leaders and key business partners; address issues.
• Coordinate compliance testing, audits, and regulatory inquiries as needed.

Skills

Leadership

Regulatory knowledge

Risk management

Analytical skills

Project management

Communication skills

Data visualization

AI tools in compliance

Collaboration

Education

Bachelor's degree

Tools

Tableau

Power BI

Job description

Principal International is seeking an Assistant Director to join the Supervision team. You will lead a team of registered principals responsible for centralized supervision, oversight, and monitoring of business conducted by securities representatives and investment adviser representatives.

You’ll ensure work is completed in accordance with team SLAs, policies, procedures, and applicable regulatory requirements.