Remote Field Supervisor, Compliance & Operations

Principal Financial Group; New Jersey; Remote; USD 85,000 - 152,000; Full time

Benefits offered by this job

Flexible Time Off

Pension Eligible

Job summary

Principal Financial Group is seeking a Field Supervisor 2 to join the Principal Securities Broker Dealer team. You’ll review complex securities transactions to ensure compliance with standards and regulations while maintaining customer experience through timely reviews.

You will also coordinate supervision items, liaise between Principal Securities Supervision and Operations, and assist in annual visit planning. A strong background in finance, securities, and FINRA rules is essential.

Qualifications

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

Responsibilities

• Review the most complex securities transactions to ensure compliance with firm standards and regulations.
• Review new securities business submitted by financial professionals for regulatory compliance.
• Coordinate field supervision items including social media, hard copy correspondence, and electronic check logs; handle escalated issues as needed.
• Serve as a lead liaison between Principal Securities Supervision and Operations to ensure smooth business transitions and regulatory reporting.
• Assist in scheduling, preparation, and follow-up of annual visits.
• Maintain comprehensive knowledge of securities products and Principal Securities capabilities.

Skills

FINRA Series 4

FINRA Series 53

Life & Health licenses

Dual-registered BD/RIA

Collaboration & teamwork

Project management

Education

Bachelor's degree or equivalent

Job description

Principal Financial Group is seeking a Field Supervisor 2 to join the Principal Securities Broker Dealer team. You’ll review complex securities transactions to ensure compliance with standards and regulations while maintaining customer experience through timely reviews.

You will also coordinate supervision items, liaise between Principal Securities Supervision and Operations, and assist in annual visit planning. A strong background in finance, securities, and FINRA rules is essential.