Senior Field Supervisor - Broker-Dealer Compliance (Remote)

Principal Financial Group; Pennsylvania; Remote; USD 39,000 - 58,000; Full time

Job summary

Principal Financial Group’s Principal Securities division is seeking a Field Supervisor 2 to review complex securities transactions for compliance with firm standards and regulations while maintaining a strong customer experience through timely reviews. You will lead field supervision initiatives, coordinate with Operations, and support regulatory reporting.

A background in financial services and FINRA licenses are required, along with a willingness to travel up to 25% and pass

Qualifications

• 4+ years of financial services experience
• Bachelor degree or equivalent work experience
• FINRA Series 7, 24, 66 licenses required
• Ability to travel up to 25%
• Must be a FINRA associated person with background check

Responsibilities

• Review new securities business to ensure 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
• Act as a lead liaison between Principal Securities Supervision and Operations to ensure smooth transitions and regulatory reporting
• Research, respond to and settle formal customer complaints

Skills

FINRA licenses (general)

Travel up to 25%

Education

Bachelor degree or equivalent

Job description

Principal Financial Group’s Principal Securities division is seeking a Field Supervisor 2 to review complex securities transactions for compliance with firm standards and regulations while maintaining a strong customer experience through timely reviews. You will lead field supervision initiatives, coordinate with Operations, and support regulatory reporting.

A background in financial services and FINRA licenses are required, along with a willingness to travel up to 25% and pass