Remote Field Supervisor Securities Compliance & Reviews
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Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Principal Financial Group’s Principal Securities team is seeking a Field Supervisor 2 to review complex transactions for compliance with firm standards and regulatory requirements, while ensuring timely, accurate reviews and good customer experience.
You will act as a lead liaison between Supervision and Operations, coordinate annual visits, and maintain extensive knowledge of securities products and system capabilities to support the broker-dealer ecosystem.
This is a strong position to take on the Remote Field Supervisor Securities Compliance & Reviews role at Principal Financial Group.
Step into the Remote Field Supervisor Securities Compliance & Reviews role at Principal Financial Group in Maryland City, MD, United States and grow with us.
Please review the full job details above before applying.
If your experience matches this role, we encourage you to apply.
All applications are reviewed carefully by our team.
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