Field Supervisor 2

Principal Financial Group; Pennsylvania; Remote; USD 39,000 - 58,000; Full time

Job summary

Principal Financial Group’s Principal Securities division is seeking a Field Supervisor 2 to review complex securities transactions for compliance with firm standards and regulations while maintaining a strong customer experience through timely reviews. You will lead field supervision initiatives, coordinate with Operations, and support regulatory reporting.

A background in financial services and FINRA licenses are required, along with a willingness to travel up to 25% and pass

Qualifications

• 4+ years of financial services experience
• Bachelor degree or equivalent work experience
• FINRA Series 7, 24, 66 licenses required
• Ability to travel up to 25%
• Must be a FINRA associated person with background check

Responsibilities

• Review new securities business to ensure compliance with firm standards and regulatory requirements
• Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log
• Act as a lead liaison between Principal Securities Supervision and Operations to ensure smooth transitions and regulatory reporting
• Research, respond to and settle formal customer complaints

Skills

FINRA licenses (general)

Travel up to 25%

Education

Bachelor degree or equivalent

Job description

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. 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.
• ~ 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.
• ~ 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.
• ~ 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.

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; 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. Pension Eligible

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

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.

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. 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. 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.

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.

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.

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. Privacy Notice for more details on our practices and your data privacy rights.

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