Remote Assistant Director, Regulatory Supervision & Risk

Principal Financial Group; United States; Híbrido; USD 127.000 - 171.000; Jornada completa

Descripción de la vacante

Principal Financial Group is seeking an Assistant Director to lead a supervision team of registered principals, overseeing centralized supervision and risk controls. You’ll drive improvements in supervisory processes, partner with cross-functional teams on data analytics, and ensure regulatory compliance.

You will mentor staff, manage SLAs, and report to senior leadership. Ideal candidates have 8+ years in financial services supervision, FINRA licenses (7/24 required, 65/66 preferred), and

Formación

• 8+ years of financial services industry experience in Broker-Dealer/RIA supervision, compliance, or risk management.
• Bachelor's degree highly preferred.
• 3+ years of formal or informal leadership experience.
• FINRA Series 7, 24 are required.
• FINRA Series 65 (or 66) license strongly preferred or must obtain within six months of hire.

Responsabilidades

• Lead and manage a team of registered principals responsible for the day-to-day execution of the supervision program.
• Represent supervision as a SME on internal and strategic initiatives and enhance supervisory processes and systems.
• Design and implement data-driven supervision strategies with cross-functional partners; develop dashboards and reporting metrics for leadership.

Conocimientos

Leadership

Regulatory knowledge

Risk management

Data analysis

Educación

Bachelor's degree

Herramientas

Tableau

Power BI

Descripción del empleo

Principal Financial Group is seeking an Assistant Director to lead a supervision team of registered principals, overseeing centralized supervision and risk controls. You’ll drive improvements in supervisory processes, partner with cross-functional teams on data analytics, and ensure regulatory compliance.

You will mentor staff, manage SLAs, and report to senior leadership. Ideal candidates have 8+ years in financial services supervision, FINRA licenses (7/24 required, 65/66 preferred), and