Remote Field Supervisor Securities Compliance & Reviews

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

Job summary

Principal Financial Group’s Principal Securities team is seeking a Field Supervisor 2 to review complex transactions for compliance with firm standards and regulatory requirements, while ensuring timely, accurate reviews and good customer experience.

You will act as a lead liaison between Supervision and Operations, coordinate annual visits, and maintain extensive knowledge of securities products and system capabilities to support the broker-dealer ecosystem.

Qualifications

• 4+ years in financial services, with direct supervision of financial professionals.
• Bachelor's degree or equivalent work experience.
• FINRA Series 7, 24, 66 (63+65) licenses required.
• Knowledge of public and private securities and advisory acts.

Responsibilities

• Review complex securities business for compliance with firm standards and regulatory requirements.
• Review field supervision items and handle escalated issues; may review financial plans and communicate with Advisor Network.
• Lead liaison between Principal Securities Supervision and Operations for reporting and issue resolution.
• Assist in scheduling, preparation, and follow-up of annual visits.
• Maintain knowledge of securities products and Principal Securities systems.

Skills

Supervising experience

FINRA knowledge

Regulatory compliance

Travel readiness

Education

Bachelor's degree or equivalent

Job description

Principal Financial Group’s Principal Securities team is seeking a Field Supervisor 2 to review complex transactions for compliance with firm standards and regulatory requirements, while ensuring timely, accurate reviews and good customer experience.

You will act as a lead liaison between Supervision and Operations, coordinate annual visits, and maintain extensive knowledge of securities products and system capabilities to support the broker-dealer ecosystem.