Field Supervisor

We’re looking for a Field Supervisor 2 to join our Principal Securities Broker Dealer team. In this role, you'll review the most complex transactions in products offered by Principal Securities to ensure they are consistent with firm standards and adhere to regulations, while maintaining customer experience by completing reviews in a timely and accurate manner.

• ~ Review new securities business submitted by financial professionals to ensure compliance with firm standards and applicable regulatory requirements.
• ~ Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log. This may involve reviewing financial plans, analyzing products, and communicating with our Principal Advisor Network.
• ~ Act as a lead in liaison duties between Principal Securities Supervision and various Operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
• ~ 4+ years of financial services experience, including prior experience directly supervising financial professionals within a Broker-Dealer/RIA environment.
• ~ Bachelor degree or equivalent work experience required.
• ~ FINRA Series 7, 24, 66 (63+65) License(s) required, with the ability to meet firm standards for registration within applicable jurisdictions.
• ~ Strong understanding of public and privately traded securities, along with managed account platforms.
• ~ Ability to travel for business as needed, up to 25%.
• ~ Must be a FINRA associated person, which requires fingerprinting and a full background check.

• ~ FINRA Series 4, 53, and/or Life & Health insurance licenses preferred.
• ~ Collaborative team player who brings initiative, adaptability, sound judgment, and a strong commitment to supporting clients and colleagues.
• ~ Strong organizational skills with the ability to manage multiple priorities and deadlines while adapting effectively as business needs shift.
• ~ Project management experience.

Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Salary Range (Non-Exempt expressed as hourly;
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. Pension Eligible

This role is supporting the Mid-Atlantic region and is hiring remotely within the state of Delaware, Maryland, New Jersey, Pennsylvania or Virgina.

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.

For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts…