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Risk Manager/Analyst Regulatory Compliance Specialist Financial Services

Field Supervisor: Compliance & Surveillance

Job in Des Moines, Polk County, Iowa, 50319, USA
Listing for: Principal Financial Group
Full Time position
Listed on 2026-02-28
Job specializations:
  • Finance & Banking
    Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Services
Salary/Wage Range or Industry Benchmark: 110200 - 148200 USD Yearly USD 110200.00 148200.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a Field Supervisor 3 to oversee financial representatives and ensure compliance. The ideal candidate has over 5 years of experience in financial services and holds active Securities licenses. Responsibilities include monitoring advisor activities, conducting branch visits, and serving as a contact for complaints. The position is based in Des Moines, IA, with a salary range of $110,200 - $148,200.

A flexible time-off program and pension eligibility are included in the benefits.
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