Field Supervisor II – Compliance & Reviews (Remote)

Principal Financial Group; Pittsburgh (Allegheny County); Remote; USD 85,000 - 152,000; Full time

Job summary

Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review complex securities transactions for compliance with firm standards and regulations while maintaining a high level of customer experience through timely, accurate reviews.

You will liaise between Supervisory and Operations, handle escalated issues, and support annual visits. A strong background in financial services, FINRA licenses, and regulatory knowledge is essential.

Qualifications

• 4+ years of financial services experience, including direct supervision of financial professionals in a Broker-Dealer/RIA environment.
• FINRA Series 7, 24, 66 (63+65) licenses required; ability to register per jurisdiction.
• Bachelor degree or equivalent work experience.

Responsibilities

• Review complex securities business to ensure compliance with firm standards and regulatory requirements.
• Follow up on field supervision items including social media review, correspondence, and electronic check logs; may handle escalated issues.
• Serve as liaison between Principal Securities Supervision and Operations to ensure smooth transitions and respond to customer complaints.
• Assist in scheduling, preparation, and follow-up of annual visits.
• Maintain knowledge of securities products and Principal Securities system capabilities.

Skills

Supervision experience

FINRA licenses

Regulatory knowledge

Travel readiness

Financial services

Education

Bachelor degree

Job description

Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review complex securities transactions for compliance with firm standards and regulations while maintaining a high level of customer experience through timely, accurate reviews.

You will liaise between Supervisory and Operations, handle escalated issues, and support annual visits. A strong background in financial services, FINRA licenses, and regulatory knowledge is essential.