Field Supervisor 2

Principal Financial Group•UNAVAILABLE, UNAVAILABLE

11d•Remote

About The Position

As a Field Supervisor 2 on the Individual Solutions Supervision team, you’ll provide oversight and monitoring of dual-registered representatives operating under Principal Advised Services (RIA) and Principal Securities, Inc. (Broker/Dealer). This role also supports representatives affiliated with Principal Bank, ensuring compliance with applicable regulatory standards across all entities. Review financial plans and product recommendations to ensure they are in the best interest of the customer, consistent with firm standards and adhering to regulations. You will help maintain customer experience and team service levels by completing the reviews in a timely and accurate manner. Conduct quality reviews and follow-ups. Respond to submitted questions. You may support some surveillance monitoring, customer complaint or issue/incident research as needed. This will involve applying analysis and judgement as well as collaboration and communication with financial professionals and control partners. Coordinate between Individual Solutions Sales Leadership, Compliance partners, and Operations areas. Ensure the smooth transition of business and facilitation of reporting and books and records requirements. Help train and mentor newer Supervision team members. Participate in and support questions during meetings with sales team members and/or leaders, such as monthly manager meetings, quarterly team meetings and both new hire and refresher training sessions. Keep up-to-date knowledge of securities products and services offered by Principal and suitable for recommendation. This involves retaining a clear grasp of applicable rules and regulations.

Requirements

Bachelor’s degree or equivalent work experience in financial services industry required.
4+ years of related supervision or oversight experience.
Active FINRA Series 7, 24, & 66 (or 65 & 63) or ability to obtain within 6 months required.
Must meet firm standards for registration within applicable jurisdictions.
Knowledge of retirement plans (employer sponsored and individual) and securities products including Stocks, Bonds, ETFs & Mutual Funds.
Goal oriented and results driven with strong collaboration, communication, and time management skills.
Ability to prioritize and handle multiple tasks simultaneously and be able to change priorities gracefully.
Requires a high degree of accuracy with a strong attention to detail.
Must be able 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

Experience with managed advisory accounts a plus.
Preference will be given to candidates who already hold all or most of these registrations (FINRA Series 7, 24, & 66 or 65 & 63).

Responsibilities

Provide oversight and monitoring of dual-registered representatives operating under Principal Advised Services (RIA) and Principal Securities, Inc. (Broker/Dealer).
Support representatives affiliated with Principal Bank, ensuring compliance with applicable regulatory standards across all entities.
Review financial plans and product recommendations to ensure they are in the best interest of the customer, consistent with firm standards and adhering to regulations.
Help maintain customer experience and team service levels by completing reviews in a timely and accurate manner.
Conduct quality reviews and follow-ups.
Respond to submitted questions.
Support surveillance monitoring, customer complaint or issue/incident research as needed.
Coordinate between Individual Solutions Sales Leadership, Compliance partners, and Operations areas.
Ensure the smooth transition of business and facilitation of reporting and books and records requirements.
Help train and mentor newer Supervision team members.
Participate in and support questions during meetings with sales team members and/or leaders.
Keep up-to-date knowledge of securities products and services offered by Principal and suitable for recommendation.
Retain a clear grasp of applicable rules and regulations.