Field Supervisor 2

Principal Financial Group; New Jersey; A distancia; USD 85.000 - 152.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Flexible Time Off

Pension Eligible

Descripción de la vacante

Principal Financial Group is seeking a Field Supervisor 2 to join the Principal Securities Broker Dealer team. You’ll review complex securities transactions to ensure compliance with standards and regulations while maintaining customer experience through timely reviews.

You will also coordinate supervision items, liaise between Principal Securities Supervision and Operations, and assist in annual visit planning. A strong background in finance, securities, and FINRA rules is essential.

Formación

• 4+ years in financial services, including supervising financial professionals in a Broker-Dealer/RIA environment.
• Bachelor's degree or equivalent work experience required.
• FINRA Series 7, 24, 66 (63+65) licenses required.
• Strong understanding of public and privately traded securities, and managed accounts.
• Knowledge of Investment Advisers Act of 1940 and FINRA regulations.
• Ability to travel up to 25% for business.
• Must be a FINRA associated person with fingerprinting and background check.

Responsabilidades

• Review the most complex securities transactions to ensure compliance with firm standards and regulations.
• Review new securities business submitted by financial professionals for regulatory compliance.
• Coordinate field supervision items including social media, hard copy correspondence, and electronic check logs; handle escalated issues as needed.
• Serve as a lead liaison between Principal Securities Supervision and Operations to ensure smooth business transitions and regulatory reporting.
• Assist in scheduling, preparation, and follow-up of annual visits.
• Maintain comprehensive knowledge of securities products and Principal Securities capabilities.

Conocimientos

FINRA Series 4

FINRA Series 53

Life & Health licenses

Dual-registered BD/RIA

Collaboration & teamwork

Project management

Educación

Bachelor's degree or equivalent

Descripción del empleo

What You'll Do

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!

Who You Are

• 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.

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 (Non-Exempt expressed as hourly; Exempt expressed as yearly)

$84600 - $152400 / 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

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.

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.

Original Posting Date

10/29/2026

Most Recently Posted Date

10/29/2026

Principal uses artificial intelligence tools to assist in reviewing and evaluating job applications, fraud prevention, and candidate matching and comparisons. These AI tools support our human recruiters in the initial review process but do not make final hiring decisions without human involvement. By submitting your application, you acknowledge this use of AI in our recruitment process. Please review our Workforce (U.S.) Privacy Notice for more details on our practices and your data privacy rights.

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