What You'll DoJoin Principal Financial Group as aField Supervisor 2!You99ll review complex Principal Securities transactions to ensure compliance, deliver a high-quality customer experience, and partner closely with Compliance and Operations to support smooth processes and reporting.
- Review and follow-up on field supervision items including review and approval of general business submitted by our Financial Professionals.
- Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
- Assist in the scheduling, preparation, and follow-up of annual visits.
- Keep up-to-date expertise on all securities products and services available through Principal Securities, as well as the system features of Principal Securities.
- Maintain a solid grasp of relevant rules and regulations alongside system capabilities.
- Informally lead the team by training and mentoring newer members to the team and maintain an open and approachable attitude to help foster a collaborative team environment.
Who You Are
- FINRA Series 7, 24, & 66 required. Series 4 & 53 preferred.
- Bachelor degree or equivalent; 4+ years of prior work related experience.
- Strong knowledge of all securities products including Stocks, Bonds, Mutual Funds, & Annuities.
- Goal oriented and results driven with strong leadership, communication, and time management skills.
- High degree of accuracy with a strong attention to detail.
- Ability 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 InformationSalary 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$84600 - $139700 / year
Salary Details
The following locations are examples of market-specific salary ranges across different geographies.
- Grand Island, NE: $84,600 - $114,300 / year
- Des Moines, IA: $89,300 - $120,650 / year
- Dallas, TX: $94,000 - $127,000 / year
- Minneapolis, MN: $103,400 - $139,700 / year
Time Off ProgramFlexible 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 don99t accrue a bank of time off under FTO and there is no set number of days provided.
Pension EligibleYes
Additional Information
Location
This role requires residency in the Midwest (ND, SD, MN, WI, NE, IA, IL, KS, MO, OK, AR, LA, or TX).
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. For more information on work authorization requirements, please use the following links:
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.
