Remote Field Compliance Supervisor II

Principal Financial Group; Yorktown (VA); Remote; USD 85,000 - 130,000; Full time

Job summary

Principal Financial Group's Principal Securities Broker Dealer team is seeking a Field Supervisor 2 to review the most complex transactions, ensuring alignment with firm standards and regulatory requirements, while maintaining a strong customer experience through timely reviews.

The role requires 4+ years in financial services, a Bachelor's degree or equivalent, FINRA Series 7/24/66 licenses, ability to travel up to 25%, and FINRA associate status with background check.

Qualifications

• Bachelor degree or equivalent work experience required.
• 4+ years of financial services experience, including supervising financial professionals in Broker-Dealer/RIA environment.
• FINRA Series 7, 24, 66 licenses required, with ability to register where applicable.
• Able to travel up to 25% for business.

Responsibilities

• Review new securities business for compliance with firm standards and regulatory requirements.
• Follow up on field supervision items including social media review, correspondence, and logs; liaise with Advisor Network.
• Lead liaison between Principal Securities Supervision and Operations to ensure smooth transitions and regulatory reporting.

Skills

FINRA Series 7

FINRA Series 24

FINRA Series 66

Education

Bachelor degree or equivalent

Job description

Principal Financial Group's Principal Securities Broker Dealer team is seeking a Field Supervisor 2 to review the most complex transactions, ensuring alignment with firm standards and regulatory requirements, while maintaining a strong customer experience through timely reviews.

The role requires 4+ years in financial services, a Bachelor's degree or equivalent, FINRA Series 7/24/66 licenses, ability to travel up to 25%, and FINRA associate status with background check.