Field Supervisor I (FINRA Series 24)

Responsibilities

• Review general transactions in all Principal Securities products to ensure they are appropriate for the client and adhere to regulations. Responsible for reviewing new business, emails, processes, financial plans, analyzing products, and communicating with our Principal Advisor Network.
• Act as a liaison between Compliance and various operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. May assist Broker‑Dealer operations and Compliance to research, respond and settle formal customer complaints.
• Maintain comprehensive knowledge of all securities products and services offered by Principal Securities, the system capabilities of Principal Securities, and a sound understanding of applicable rules and regulations.

Qualifications

• FINRA Series 7 and Series 24 required; Series 66 an advantage.
• Bachelor’s d...