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Senior Brokerage Risk & Surveillance Lead
Job in
Des Moines, Polk County, Iowa, 50319, USA
Listed on 2026-06-22
Listing for:
Principal Financial Services, Inc.
Full Time
position Listed on 2026-06-22
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance, Financial Services
Job Description & How to Apply Below
Principal Financial Services, Inc. is seeking a Senior Surveillance Analyst in Des Moines, Iowa. In this pivotal role, you will lead risk-based surveillance, ensuring compliance across broker-dealer and investment adviser activities. Your expertise will directly shape our approach to identifying and managing risk, while mentoring junior analysts to enhance our team's capability.
This position offers a competitive salary range of $110,200 - $150,000 annually, as well as flexible time off and pension eligibility. Join us to make a significant impact within a dynamic team.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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