Field Supervisor 3

Principal Financial Group•Des Moines, IA

10h•$104,400 - $187,200•Hybrid

About The Position

We’re seeking a highly motivated Field Supervisor 3 to join Principal Financial Group. In this position, you will coordinate and monitor financial representatives, and investment advisors registered with Principal Securities, Inc (PSI). You will carry out PSI’s Broker-Dealer and RIA supervision and surveillance. Your duties ensure compliance and quality service. 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

5+ years of financial services industry experience with roles in Broker-Dealer/RIA supervision, compliance, or risk management.
Active Securities licenses: FINRA Series 7, 24, 53, 66 (63+65).
FINRA Series 4 and Insurance licenses to be acquired within 12 months.
General knowledge of public and privately traded securities and managed account platforms.
Regulatory knowledge of Investment Adviser’s Act of 1940 and FINRA regulations.
Teammate who possesses great initiative, flexibility, judgment and provides indispensable service.
Must be able to prioritize and handle multiple tasks/deadlines simultaneously and be able to change priorities gracefully.
Superior written and verbal communication and public speaking skills.
Exceptional ability to follow instructions with minimal supervision.
Business travel as needed, up to 25%.

Responsibilities

Monitor registered representative and investment adviser activity using PSI supervision tools and platforms.
Support field and home‑office supervision programs and contribute to key oversight and transformation initiatives.
Serve as the customer point of contact for complaints and business‑conduct issues.
Conduct annual and ad‑hoc on‑site branch visits and complete assigned supervisory reviews.
Assist field leaders with 90‑day and annual advisor reviews and provide regular reporting on issues, concerns, and resolutions.
Review Monthly Compliance Reports and supporting documents, including check logs, trade blotters, gift/entertainment logs, and correspondence.
Review OBA/DBA disclosures and advertising/marketing submissions.
Conduct quarterly social media reviews and support exception and surveillance reporting.
Communicate and implement broker‑dealer and RIA supervision, surveillance, and monitoring expectations.
Support field offices and compliance teams during regulatory exams and branch audits.
Coordinate documentation for exams, audits, inquiries, and complaints.
Investigate and help resolve issues related to audit findings, surveillance exceptions, and regulatory inquiries.