Remote Field Supervisor II – Compliance & Transactions

Principal Financial Group; Annapolis (MD); Remote; USD 85,000 - 152,000; Full time

Job summary

Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review complex securities transactions to ensure they meet firm standards and regulatory requirements while maintaining a strong customer experience through timely, accurate reviews.

The role requires guiding field supervision efforts, liaising between Principal Securities Supervision and Operations, and supporting annual visit scheduling. Travel up to 25% is expected.

Qualifications

• 4+ years of financial services experience.
• Bachelor degree or equivalent work experience.
• FINRA Series 7, 24, 66 (63+65) licenses required.

Responsibilities

• Review new securities business to ensure compliance with firm standards and regulatory requirements.
• Review and follow-up on field supervision items and escalated issues; liaise with Principal Advisor Network.
• Lead liaison between Principal Securities Supervision and Operations for smooth transition of business and reporting.

Skills

Financial services experience

Supervising financial professionals

Travel up to 25%

Regulatory knowledge

Education

Bachelor degree

Tools

FINRA licenses (Series 7, 24, 66/63+65)

Job description

Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review complex securities transactions to ensure they meet firm standards and regulatory requirements while maintaining a strong customer experience through timely, accurate reviews.

The role requires guiding field supervision efforts, liaising between Principal Securities Supervision and Operations, and supporting annual visit scheduling. Travel up to 25% is expected.