Senior Field Supervisor – Securities Compliance (Remote)

Principal International; United States; Remote; USD 85,000 - 152,000; Full time

Job summary

Principal International is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review complex transactions to ensure they meet firm standards and regulations while maintaining excellent customer experience through timely reviews.

Responsibilities include coordinating field supervision items, acting as a liaison with Operations for regulatory reporting, scheduling annual visits, and maintaining knowledge of securities products and system capabilities.

Qualifications

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

Responsibilities

• Review complex securities transactions for compliance with firm standards and regulations while maintaining customer experience.
• Review and follow up on field supervision items, including social media, correspondence, and logs; handle escalated issues.
• Lead liaison between Principal Securities Supervision and Operations to ensure smooth business transitions and regulatory reporting.
• Assist in scheduling, preparation, and follow-up of annual visits.
• Maintain knowledge of securities products and system capabilities; stay current on applicable rules and regulations.

Skills

Regulatory compliance

Supervising financial professionals

Financial products knowledge

Regulatory liaison

Travel readiness

Education

Bachelor degree or equivalent work experience

Job description

Principal International is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review complex transactions to ensure they meet firm standards and regulations while maintaining excellent customer experience through timely reviews.

Responsibilities include coordinating field supervision items, acting as a liaison with Operations for regulatory reporting, scheduling annual visits, and maintaining knowledge of securities products and system capabilities.