Field Supervisor 2 (West Coast)
About The Position
Join Principal Financial Group as a Field Supervisor 2! You’ll 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. This position is remote, but due to territory covered, the ideal candidate will reside in California, Arizona, Colorado, or Denver. 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. 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.
Requirements
- FINRA Series 7, 24, & 66 required.
- 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.
Nice To Haves
- Series 4 & 53 preferred.
Responsibilities
- Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log.
- Handle advanced issues by reviewing financial plans, analyzing products, and communicating with our Principal Advisor Network.
- 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.
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
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
