Remote Field Compliance Supervisor II

Principal Financial Group; Muncie (IN); Remote; USD 85,000 - 152,000; Full time

Benefits offered by this job

Time Off Program

Pension Eligible

Job summary

Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review the most complex securities transactions to ensure compliance with firm standards and regulatory requirements while maintaining customer experience.

You will lead reviews of new securities business, follow up on field supervision items, and coordinate with operations to ensure smooth transitions and timely reporting.

Qualifications

• 4+ years of financial services experience, including supervising financial professionals.
• Bachelor degree or equivalent work experience.
• FINRA Series 7, 24, 66 (63+65) licenses required.
• Understanding of public and privately traded securities and managed accounts.
• Willingness to travel up to 25%.
• FINRA associated person with background check.

Responsibilities

• Review complex securities transactions for compliance with firm standards and regulations.
• Review new securities business submitted by financial professionals.
• Follow-up on field supervision items including social media review and check log.
• Lead liaison between Principal Securities Supervision and Operations.
• Assist in scheduling and follow-up of annual visits.
• Maintain knowledge of securities products and system capabilities.

Skills

Financial services experience

Supervision of financial professionals

FINRA licensing knowledge

Travel up to 25%

Education

Bachelor degree or equivalent

Job description

Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review the most complex securities transactions to ensure compliance with firm standards and regulatory requirements while maintaining customer experience.

You will lead reviews of new securities business, follow up on field supervision items, and coordinate with operations to ensure smooth transitions and timely reporting.