What You'll DoWe’re looking for a Field Supervisor 2 to join our Principal Securities Broker Dealer team. In this role, you'll review the most complex transactions in products offered by Principal Securities to ensure they are consistent with firm standards and adhere to regulations, while maintaining customer experience by completing reviews in a timely and accurate manner.
- Review new securities business submitted by financial professionals to ensure compliance with firm standards and applicable regulatory requirements.
- Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log. May handle some escalated issues. This may involve reviewing financial plans, analyzing products, and communicating with our Principal Advisor Network.
- Act as a lead in liaison duties between Principal Securities Supervision and various Operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. 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.
- Maintain comprehensive knowledge of all securities products and services offered by Principal Securities, and system capabilities of Principal Securities. This includes maintaining a sound understanding of applicable rules and regulations and system capabilities.
Who You Are
- 4+ years of financial services experience, including prior experience directly supervising financial professionals within a Broker-Dealer/RIA environment.
- Bachelor degree or equivalent work experience required.
- FINRA Series 7, 24, 66 (63+65) License(s) required, with the ability to meet firm standards for registration within applicable jurisdictions.
- Strong understanding of public and privately traded securities, along with managed account platforms.
- Working knowledge of the Investment Advisers Act of 1940 and applicable FINRA regulations.
- Ability to travel for business as needed, up to 25%.
- Must be a FINRA associated person, which requires fingerprinting and a full background check.
Skills That Will Help You Standout
- FINRA Series 4, 53, and/or Life & Health insurance licenses preferred.
- Experience working within a dual-registered Broker-Dealer and Registered Investment Adviser environment.
- Collaborative team player who brings initiative, adaptability, sound judgment, and a strong commitment to supporting clients and colleagues.
- Strong organizational skills with the ability to manage multiple priorities and deadlines while adapting effectively as business needs shift.
- Project management experience.
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 - $152400 / 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 don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension EligibleYes
Additional Information
Location
This role is supporting the Mid-Atlantic region and is hiring remotely within the state of Delaware, Maryland, New Jersey, Pennsylvania or Virgina.
Work Authorization/Sponsorship
At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based Immigrants
Investment Code of Ethics
For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.
Experience Principal
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.
Posting WindowWe 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.
Date First Posted (TTF)10/29/2026
Latest Post Date: Careers - US10/29/2026
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