Remote Field Supervisor - Securities Compliance
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Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Principal Financial Group is seeking a Field Supervisor 2 to join our Principal Securities Broker Dealer team. You will review the most complex securities transactions to ensure compliance with firm standards and regulatory requirements, while maintaining customer experience through timely and accurate reviews.
You will lead reviews of new securities business, follow up on field supervision items, and act as a liaison between Principal Securities Supervision and Operations to meet reporting
We invite applications for the Remote Field Supervisor - Securities Compliance position located in MD, United States.
The position is based in MD, United States.
This opportunity is part of our work in Legal.
The advertised compensation is 85..
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
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