Remote Field Supervisor – Securities Compliance Lead

Principal Financial Group; Virginia; Remote; USD 80,000 - 110,000; 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 adherence to firm standards and regulations while maintaining a high standard of customer experience through timely, accurate reviews.

This role requires 4+ years in financial services, FINRA licenses (7, 24, 66 or 63/65), travel up to 25%, and remote work within DE, MD, NJ, PA or VA.

Qualifications

• 4+ years of financial services experience, including supervision of financial professionals.
• Bachelor degree or equivalent work experience.
• FINRA licenses required (7, 24, 66 or 63/65).
• Ability to travel up to 25%.

Responsibilities

• Review new securities business for compliance with firm standards and regulatory requirements.
• Follow-up on field supervision items including social media review, hard copy correspondence, and electronic check logs.
• Act as liaison between Principal Securities Supervision and Operations to ensure smooth transitions and regulatory reporting.

Skills

FINRA Series 7

FINRA Series 24

FINRA Series 66 (63+65)

Travel readiness

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 complex securities transactions to ensure adherence to firm standards and regulations while maintaining a high standard of customer experience through timely, accurate reviews.

This role requires 4+ years in financial services, FINRA licenses (7, 24, 66 or 63/65), travel up to 25%, and remote work within DE, MD, NJ, PA or VA.