Senior Field Supervisor - Broker-Dealer Compliance; Remote
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Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Principal Financial Group’s Principal Securities division is seeking a Field Supervisor 2 to review complex securities transactions for compliance with firm standards and regulations while maintaining a strong customer experience through timely reviews. You will lead field supervision initiatives, coordinate with Operations, and support regulatory reporting.
A background in financial services and FINRA licenses are required, along with a willingness to travel up to 25% and pass
Consider building your career as a Senior Field Supervisor
- Broker-Dealer Compliance (Remote) at Principal Financial Group.
This is a genuine opportunity to take on the Senior Field Supervisor
- Broker-Dealer Compliance (Remote) role at Principal Financial Group.
As a Senior Field Supervisor
- Broker-Dealer Compliance (Remote), you will play an important part at Principal Financial Group in PA, United States.
We invite applications for the Senior Field Supervisor
- Broker-Dealer Compliance (Remote) position located in PA, United States.
Position Requirements
10+ Years work experience(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).