What You'll Do

We’re looking for a Field Supervisor 2 to join our Principal Advised Services team! In this role, you’ll review products and services to ensure they are consistent with firm standards and adhere to regulations, while maintaining customer experience by completing the reviews in a timely and accurate manner.

• Review and follow-up on field supervision items including review of advisory products and services, social media review, and processing. May handle some escalated issues. This may involve reviewing financial plans, analyzing products, and communicating with our Investment Advisor Representatives.

• Act as a lead in liaison duties between Principal Advised Solutions Sales Leadership, Compliance, and various Operations areas to ensure the smooth transition of business and to fulfill reporting requirements.

• Maintain comprehensive knowledge of all securities products, services and system capabilities offered by Principal. This includes maintaining a sound understanding of applicable rules and regulations.

• May assist in solving issues that are escalated from the team. May provide informal leadership to the team by training/mentoring newer members. Maintain an open and approachable attitude to help foster a collaborative team environment.

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!

Who You Are

• FINRA Series 7, 24, & 66 or ability to obtain within 6 months required. Must meet firm standards for registration within applicable jurisdictions.

• Bachelor degree or equivalent work experience required.

• 4+ years of related supervision or oversight 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.

• Requires basic computer skills and the ability to obtain knowledge of business unit software.

• 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.

Salary Range Information

Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)

$77350 - $147600 / year

Time Off Program

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. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.

Pension Eligible

Yes

Additional Information

Work Environments

This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). You’ll work with your leader to figure out which option may align best based on several factors.

Work Authorization/Sponsorship

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.

Nonimmigrant Workers (https://www.uscis.gov/working-in-the-united-states/temporary-nonimmigrant-workers) and Green Card for Employment-Based Immigrants (https://www.uscis.gov/green-card/green-card-eligibility/green-card-for-employment-based-immigrants)

Investment Code of Ethics

For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site (https://www.principal.com/about-us/careers) to learn more about our purpose, values and benefits.

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.

Posting Window

We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.

Original Posting Date

8/29/2024

Most Recently Posted Date

8/29/2024

LinkedIn Remote Hashtag

#LI-Remote