Advisory Operations Specialist

Principal Financial Group • Des Moines, IA

7h • Remote

About The Position

As an Advisory Operations Specialist, you will support our advisory platform and ensure clear communication and accuracy in managing registered representatives' needs. You will join a team that assists in solving complex problems and offers high-quality investment analysis and asset allocation modeling support. Your work will help advisors develop suitable portfolios for clients and craft base models for wider application. This role requires both technical skills and the ability to apply strategies that effectively position our products.
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.

Requirements

• Bachelor's degree or equivalent, plus 3+ years of related experience.
• Active FINRA Series 7 license.
• Investment background and ability to understand market/economic conditions required.
• Strong written and verbal communication as well as organizational and time-management skills.
• Good analytical skills and understanding of investments.
• Ability to use analytical tools and excellent knowledge of word processing, spreadsheet and presentation applications.
• Able to work independently and must be adept at managing multiple requests with strict deadlines.
• Licenses must be held in conformity with state and federal rules and company standards as detailed in the existing licensing policy.
• The following licenses need to be acquired within 6 months of hiring: Series 63

Nice To Haves

• Knowledge of fee based accounts or Envestnet preferred.

Responsibilities

• Support advisory platform needs and questions from registered representatives to ensure information is complete, detailed, communicated, and maintained pursuant to strict securities regulations.
• Support colleagues in addressing intricate problems and challenges connected to securities transactions, account status, commissions, or operational procedures.
• Provide investment analysis and asset allocation modeling assistance for the fee-based programs of Principal Securities within our retail distribution channel.
• Work with advisors to build appropriate portfolios for their clients and help develop base models for broader use.
• Help advisors understand the product features to aid sales and assess competitor products to position ours effectively.
• Address and resolve intricate issues related to securities transactions, account status, commissions, or operational procedures.
• Stay informed about the investment universe to help respond to product-related inquiries and contribute to setting initial targets for attractive assets given the prevailing market conditions.
• Work with the team to develop models with appropriate risk and assist advisors with building portfolios and accounts out of drift.
• Provide general education on stocks, bonds, ETFs, and general investment questions.

Benefits

• 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.
• Pension Eligible

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level