Field Supervisor ; Midwest

What You'll Do

• Review and follow‑up on field supervision items including review and approval of general business submitted by our Financial Professionals.
• Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
• Assist in the scheduling, preparation, and follow‑up of annual visits.
• Keep up‑to‑date expertise on all securities products and services available through Principal Securities, as well as the system features of Principal Securities.
• Maintain a solid grasp of relevant rules and regulations alongside system capabilities.
• Informally lead the team by training and mentoring newer members and maintain an open and approachable attitude to help foster a collaborative team environment.

• FINRA Series 7, 24, & 66 required. Series 4 & 53 preferred.
• Bachelor degree or equivalent; 4+ years of prior work related experience.
• Strong knowledge of all securities products including Stocks, Bonds, Mutual Funds, & Annuities.
• Goal oriented and results driven with strong leadership, communication, and time management skills.
• High degree of accuracy with a strong attention to detail.
• Ability to work independently in a fast‑paced work environment to meet deadlines.
• Must be a FINRA associated person, which requires fingerprinting and a full background check.

$84600 - $139700 / year

• Grand Island, NE: $84,600 - $114,300 / year
• Des Moines, IA: $89,300 - $120,650 / year
• Dallas, TX: $94,000 - $127,000 / year
• Minneapolis, MN: $103,400 - $139,700 / year

This role requires residency in the Midwest (ND, SD, MN, WI, NE, IA, IL, KS, MO, OK, AR, LA, or TX).

Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short‑term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.

Yes

Principal is an Equal Opportunity

Employer:

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.