Field Supervisor II: Securities Compliance & Ops Lead

Principal Financial Group; Oregon; Hybrid; USD 85,000 - 152,000; Full time

Benefits offered by this job

Pension eligible

Job summary

Principal Financial Group seeks a Field Supervisor 2 to join the Principal Securities Broker Dealer team. You will review complex securities transactions for compliance, ensuring adherence to firm standards and regulations while preserving a positive customer experience through timely reviews.

You will lead field supervision activities, coordinate with Operations, and contribute to regulatory reporting. Expect up to 25% travel and ongoing licensing requirements in a dynamic financial services

Qualifications

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

Responsibilities

• Review new securities business for compliance with firm standards and regulatory requirements.
• Follow up on field supervision items including social media review and electronic check logs; handle escalated issues when needed.
• Lead liaison duties between Principal Securities Supervision and Operations to ensure smooth transitions and regulatory reporting.
• Assist in scheduling, preparing, and following up on annual visits.
• Maintain knowledge of securities products and system capabilities at Principal Securities.

Skills

Regulatory compliance

Supervision experience

Portfolio knowledge

Travel readiness

Education

Bachelor degree or equivalent

Job description

Principal Financial Group seeks a Field Supervisor 2 to join the Principal Securities Broker Dealer team. You will review complex securities transactions for compliance, ensuring adherence to firm standards and regulations while preserving a positive customer experience through timely reviews.

You will lead field supervision activities, coordinate with Operations, and contribute to regulatory reporting. Expect up to 25% travel and ongoing licensing requirements in a dynamic financial services