Remote Field Supervisor - Securities Compliance

Principal Financial Group; Maryland; 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 the most complex securities transactions to ensure compliance with firm standards and regulatory requirements, while maintaining customer experience through timely and accurate reviews.

You will lead reviews of new securities business, follow up on field supervision items, and act as a liaison between Principal Securities Supervision and Operations to meet reporting

Qualifications

• 4+ years of financial services experience including supervising financial professionals.
• FINRA Series 7, 24, 66 licenses required with ability to register within applicable jurisdictions.
• Strong understanding of public and privately traded securities and managed accounts.
• Working knowledge of the Investment Advisers Act of 1940 and applicable FINRA regulations.

Responsibilities

• Review new securities business submitted by financial professionals for compliance with firm standards and regulatory requirements.
• Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log; may handle escalated issues.
• Act as a lead liaison between Principal Securities Supervision and Operations to ensure smooth transition of business and fulfill reporting requirements per regulators.
• Assist in the scheduling, preparation, and follow-up of annual visits.
• Maintain comprehensive knowledge of all securities products and Principal Securities system capabilities.

Skills

FINRA Licenses (7/24/66)

Travel readiness

Leadership experience

Education

Bachelor degree or equivalent work experience

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 through timely and accurate reviews.

You will lead reviews of new securities business, follow up on field supervision items, and act as a liaison between Principal Securities Supervision and Operations to meet reporting