Branch Examiner / Senior Branch Examiner

Principal Financial Group

1d•$69,300 - $126,000•Remote

About The Position

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!

Requirements

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.

Nice To Haves

FINRA Series 63/65 or 66, 4 or 53
Familiarity with insurance-related securities products and regulations

Responsibilities

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.