What You'll Do
Principal Financial Group is seeking a Branch Examiner or Senior Branch Examiner to support its Broker Dealer and Registered Investment Adviser program. This role is responsible for conducting regulatory branch exams that meet FINRA and SEC supervisory requirements, while partnering with field leadership to drive understanding, consistency, and compliance across our distribution network.
This is an excellent opportunity for a compliance professional who enjoys working in the field, values structure, and accountability, and wants to grow within a well‑established compliance organization.
In this role you will be responsible for:
- Conducting risk-based remote and on-site examinations of branch offices throughout the United States.
- Evaluating branch supervision, sales practices, communications with the public, outside business activities, and customer account activity for regulatory compliance and adherence to firm policies.
- Preparing clear, well‑supported examination workpapers, reports, and findings summaries and communicating examination results to firm management.
- Performing risk-based examination planning by analyzing risk assessments, establishing sample selection criteria, testing selected samples per procedures and reviewing relevant documentation.
- Using professional judgment to assess risk indicators and expand examination scope as warranted.
- Leveraging AI‑enabled tools, when appropriate, to improve efficiency and quality.
- Maintaining ongoing coordination with Compliance and Supervision partners, as appropriate.
- Proactively seeking and implementing new improvements to workflows, templates or automation opportunities to improve efficiency.
- Maintaining current team desktop procedures.
- Staying current on regulatory initiatives to identify emerging risks and provide informed solutions aligned with firm initiatives.
- Contribute to organizational learning by leading, mentoring, and coaching less experienced compliance professionals.
- Develop, grow, and manage relationships with peer organizations inside and outside of Principal, industry groups, securities regulators, retirement plan industry regulators & financial professionals.
- Perform other job-related duties or special projects as required.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
Who You Are
- Bachelor’s degree or equivalent experience.
- 4+ years of experience in financial services compliance, supervision, or branch auditing.
- FINRA Series 7 and Series 24 required (active or eligible to transfer).
- Strong knowledge of broker‑dealer and advisory regulations and supervision.
- Excellent written and verbal communication skills.
- Ability to travel extensively and pass a motor vehicle record check.
Preferred Qualifications
- FINRA Series 63/65 or 66, 4 or 53
- Familiarity with insurance-related securities products and regulations
Why This Compliance Team at Principal
The Branch Examination team offers a rare combination of structure, trust, and flexibility—even in a travel‑focused role.
- Flexible travel model: Travel is primarily Monday–Friday, with exams scheduled during core daytime hours.
- Autonomy & trust: Examiners manage their own schedules, travel, and priorities within clear expectations.
- Modern mindset: The team is evolving exam modules, reporting, and data analysis, welcoming new ideas and perspectives.
- Real impact: You’ll partner with stakeholders across all levels while directly supporting regulatory integrity and ethical business practices.
Hiring Level: We’ll consider talent at the Senior level with the right experiences and skills including 6+ years of relevant experience.
Salary Range Information
Salary ranges below reflect targeted base salaries. 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; Exempt expressed as yearly)
$69300 - $126000 / year
Salary Details
The following levels and locations are examples of market-specific salary ranges across different job levels and geographies. Candidates will be evaluated to determine the appropriate job level based on their skills and experience.
- Grand Island, NE / Wichita, KS:
- Branch Examiner: $69,390 - $94,500/ year
- Senior Branch Examiner: $104,400 - $140,400 / year
- Des Moines, IA / Tampa, FL:
- Branch Examiner: $73,150 - $99,750 / year
- Senior Branch Examiner: $110,200 - $148,200 / year
- Charlotte, NC / Dallas, TX:
- Branch Examiner: $77,000 - $105,000 / year
- Senior Branch Examiner: $116,000 - $156,000 / year
- Chicago, IL / Denver, CO / Minneapolis, MN:
- Branch Examiner: $84,700 - $115,500 / year
- Senior Branch Examiner $127,600 - $171,600 / year
- Los Angeles, CA / New York, NY:
- Branch Examiner: $92,400 - $126,000 / year
- Senior Branch Examiner: $139,700 - $187,200 / year
Time Off Program
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. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible
Yes
Posting Window
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Original Posting Date
4/6/2026
Most Recently Posted Date
4/7/2026
LinkedIn Remote Hashtag
#LI-Remote