Senior Brokerage Surveillance Analyst

Principal Financial Group • Des Moines, IA

5d • Remote

About The Position

We’re looking for a Senior Surveillance Analyst to play a critical role in protecting our clients, advisors, and firm. In this role, you’ll lead risk-based surveillance across broker-dealer and investment adviser activity—combining data, judgment, and collaboration to identify and address regulatory and supervisory risk. You’ll go beyond monitoring alerts—you’ll shape how we detect risk, influence outcomes, and continuously evolve our surveillance program.

Requirements

• Bachelor’s degree or equivalent experience
• 6+ years in broker-dealer or investment adviser surveillance, supervision, or compliance
• Required licenses: Series 7, 24, and 66 (or 63/65)
• Strong knowledge of FINRA supervisory rules, Regulation Best Interest, and SEC fiduciary standards
• Broad exposure to brokerage and advisory products (e.g., mutual funds, annuities, managed accounts, alternatives)
• Proven ability to analyze surveillance data and translate insights into risk-based decisions
• Demonstrated sound judgment and the ability to influence outcomes through analysis and escalation
• Strong communication skills with the ability to engage advisors, auditors, and leadership
• Leadership mindset with experience mentoring or guiding others
• Highly organized with strong attention to detail and ability to manage multiple priorities in a fast-paced environment

Nice To Haves

• Series 4 and/or 53 preferred

Responsibilities

• Lead risk-based surveillance reviews of transactions, accounts, and advisor activity to identify suitability, fiduciary, Reg BI, and policy concerns
• Investigate and resolve surveillance alerts across trading activity, advisory programs, and representative conduct—serving as an escalation point for complex issues
• Evaluate account activity against client profiles, including risk tolerance, objectives, and investment strategies
• Analyze surveillance data and activity trends to identify outliers, emerging risks, and thematic issues—and clearly communicate insights to leadership
• Partner directly with RRs and IARs to gather context, assess risk, and drive timely, well-reasoned resolutions
• Apply strong judgment in complex or gray-area scenarios, determining appropriate outcomes and escalation paths
• Maintain thorough documentation of investigations and conclusions in line with regulatory and audit expectations
• Mentor junior analysts and serve as a subject-matter expert within the team
• Collaborate across supervision, compliance, and advisory teams to ensure consistent and aligned outcomes
• Contribute to enhancing surveillance capabilities—including alert design, thresholds, and overall program effectiveness
• Support regulatory exams, audits, and internal reviews, including preparing documentation and supervisory narratives
• Stay current on regulatory developments and incorporate evolving expectations into surveillance practices

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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree