Senior Field Supervisor: Compliance & BD Oversight

Principal Financial Group; Williamstown (NJ); Remote; USD 85,000 - 152,000; Full time

Benefits offered by this job

Friendly remote work policy

Job summary

Principal Financial Group is seeking a Field Supervisor 2 to review complex securities transactions and oversee supervisory processes for the Principal Securities Broker Dealer team. You will ensure compliance with firm standards and regulations while maintaining strong customer experience across reviews and reporting.

You will lead liaison efforts between supervision and operations, handle annual visits, and maintain deep knowledge of securities products and platforms.

Qualifications

• 4+ years of financial services experience, including prior supervision of financial professionals within a Broker-Dealer/RIA environment.
• Bachelor degree or equivalent work experience required.
• FINRA Series 7, 24, 66 (63+65) licenses required, with ability to meet registration standards.
• Strong understanding of public and privately traded securities and managed account platforms.
• Working knowledge of the Investment Advisers Act of 1940 and applicable FINRA regulations.
• Ability to travel for business up to 25%.

Responsibilities

• Review the most complex securities transactions to ensure compliance with firm standards and regulations while preserving customer experience.
• Review new securities business submitted by financial professionals for regulatory and standards adherence.
• Act as lead liaison between Principal Securities Supervision and Operations to ensure smooth transitions and regulatory reporting.
• Assist in scheduling, preparation, and follow-up of annual visits.
• Maintain knowledge of securities products and system capabilities; stay updated on applicable rules.

Skills

Supervision experience

Regulatory knowledge

FINRA licensing

Travel readiness

Communication skills

Education

Bachelor degree or equivalent

Job description

Principal Financial Group is seeking a Field Supervisor 2 to review complex securities transactions and oversee supervisory processes for the Principal Securities Broker Dealer team. You will ensure compliance with firm standards and regulations while maintaining strong customer experience across reviews and reporting.

You will lead liaison efforts between supervision and operations, handle annual visits, and maintain deep knowledge of securities products and platforms.