What You'll Do

As a Field Supervisor 2 on the Individual Solutions Supervision team, you’ll provide oversight and monitoring of dual-registered representatives operating under Principal Advised Services (RIA) and Principal Securities, Inc. (Broker/Dealer). This role also supports representatives affiliated with Principal Bank, ensuring compliance with applicable regulatory standards across all entities.

• Review financial plans and product recommendations to ensure they are in the best interest of the customer, consistent with firm standards and adhering to regulations. You will help maintain customer experience and team service levels by completing the reviews in a timely and accurate manner.
• Conduct quality reviews and follow-ups. Respond to submitted questions. You may support some surveillance monitoring, customer complaint or issue/incident research as needed. This will involve applying analysis and judgement as well as collaboration and communication with financial professionals and control partners.
• Coordinate between Individual Solutions Sales Leadership, Compliance partners, and Operations areas. Ensure the smooth transition of business and facilitation of reporting and books and records requirements.
• Help train and mentor newer Supervision team members. Participate in and support questions during meetings with sales team members and/or leaders, such as monthly manager meetings, quarterly team meetings and both new hire and refresher training sessions.
• Keep up-to-date knowledge of securities products and services offered by Principal and suitable for recommendation. This involves retaining a clear grasp of applicable rules and regulations.

Who You Are

• Bachelor’s degree or equivalent work experience in financial services industry required. 4+ years of related supervision or oversight experience.
• Securities licenses: Active FINRA Series 7, 24, & 66 (or 65 & 63) or ability to obtain within 6 months required. (Preference will be given to candidates who already hold all or most of these registrations.) Must meet firm standards for registration within applicable jurisdictions.
• Knowledge of retirement plans (employer sponsored and individual) and securities products including Stocks, Bonds, ETFs & Mutual Funds. Experience with managed advisory accounts a plus.
• Goal oriented and results driven with strong collaboration, communication, and time management skills.
• Ability to prioritize and handle multiple tasks simultaneously and be able to change priorities gracefully.
• Requires a high degree of accuracy with a strong attention to detail.
• Must be able to work independently in a fast-paced work environment to meet deadlines.
• Must be a FINRA associated person, which requires fingerprinting and a full background check.

Salary Range Information

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)

The following locations are examples of market-specific salary ranges across different geographies.

• Wichita, KS: $84,600 - $114,300 / year
• Des Moines, IA: $89,300 - $120,650 / year
• Charlotte, NC: $94,000 - $127,000 / year
• Chicago, IL / Minneapolis, MN: $103,400 - $139,700/ year
• Los Angeles, CA / New York City, NY: $139,200 - $187,200 / year

Pension Eligible

Location

This is a remote position.

Work Authorization/Sponsorship

At this time, we are not considering applicants who require any form of immigration sponsorship to work in the United States now or in the future. This includes F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and similar visas.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Ethics Code

In Principal Asset Management positions, you are required to observe an Investment Code of Ethics regarding conduct and personal trading for yourself and those living with you. Other positions within the organization may have similar obligations.

Experience Principal

At Principal, we believe in forming connections both personally and professionally. Together, we’re crafting a future for financial services that is guided by purpose – and that begins with you. Our success depends on the outstanding experiences, backgrounds, and talents of our employees. We provide support to our employees in the same way as our customers. Our inclusive and competitive benefits protect physical, financial, and social well-being. Check our careers site to learn more about our purpose, values, and benefits.

Principal is an Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Posting Window

Original Posting Date

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