Field Supervisor 2 (Midwest)

Principal Financial Group•Des Moines, IA

1d•Remote

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 role is positioned where financial services meet technology, Principal creates financial tools that assist our customers in living better lives. We are proud to be a purpose-oriented organization, guided by our mission to ensure financial security is within everyone's reach. Our mission, integrity, and customer dedication have made us a reliable leader for more than 140 years!

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 review and approval of general business submitted by our Financial Professionals.
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.