Senior Field Supervisor – Securities Compliance (Remote)

Principal Financial Group; Elm (PA); Remote; USD 39,000 - 72,000; 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 alignment with firm standards and regulatory requirements while maintaining a strong customer experience through timely, accurate reviews.

The role involves reviewing new securities business, following up on field supervision items, and acting as a liaison between supervision and Operations to support regulatory reporting and

Qualifications

• Bachelor degree or equivalent work experience required.
• FINRA Series 7, 24, 66 licenses required (63+65) within jurisdictions.
• Ability to travel up to 25% for business.

Responsibilities

• Review new securities business submitted by financial professionals for compliance.
• Review and follow-up on field supervision items including social media, hard copy, and electronic check log.
• Act as liaison between Principal Securities Supervision and Operations to ensure smooth transitions and respond to customer complaints.

Skills

FINRA licenses

Securities knowledge

Travel readiness

Team collaboration

Project management

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 alignment with firm standards and regulatory requirements while maintaining a strong customer experience through timely, accurate reviews.

The role involves reviewing new securities business, following up on field supervision items, and acting as a liaison between supervision and Operations to support regulatory reporting and