What are the responsibilities and job description for the Senior Supervisory Officer - Principal Securities position at Principal Financial Group?
What You'll Do
Are you a strategic leader passionate about supervision, risk management, and regulatory compliance? As the Senior Supervisory Officer, Principal Securities, you’ll play a meaningful role in protecting the firm’s integrity, ensuring adherence to SEC, FINRA, and state regulations while developing outstanding supervisory processes. This is your opportunity to lead with impact, drive innovation, and shape the future of risk management in a multifaceted, growth-focused environment.
What You’ll Do:
Who You Are
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)
$137000 - $185000 / 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 and 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 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
1/30/2025
Most Recently Posted Date
1/30/2025
LinkedIn Remote Hashtag
LinkedIn Hashtag
Are you a strategic leader passionate about supervision, risk management, and regulatory compliance? As the Senior Supervisory Officer, Principal Securities, you’ll play a meaningful role in protecting the firm’s integrity, ensuring adherence to SEC, FINRA, and state regulations while developing outstanding supervisory processes. This is your opportunity to lead with impact, drive innovation, and shape the future of risk management in a multifaceted, growth-focused environment.
What You’ll Do:
- Supervise Supervision- Lead the firm’s supervisory framework, ensuring compliance with internal policies and external regulations.
- Proactively Identify & Mitigate Risk - Assess risks in trading, sales, and operations, implementing effective risk mitigation strategies.
- Lead Audits & Regulatory Reporting - Coordinate internal and external audits, address findings, and improve supervisory controls.
- Improve Processes & Systems - Continuously refine supervisory procedures and technologies to adapt to an evolving regulatory landscape.
- Develop & Lead a High-Performing Team - Hire, train, and mentor a team of supervision professionals, fostering a culture of compliance excellence.
- Collaborate at a Strategic Level - Partner with Compliance, Legal, and senior leadership to align supervision policies with broader business goals.
- High-Impact Role - Your expertise will directly shape the firm’s risk management and regulatory strategy.
- Leadership Opportunity - Manage a team and drive change in a firm committed to excellence.
- Multifaceted & Evolving Environment - Stay ahead of regulatory trends and be part of a forward-thinking organization.
- Strong Culture of Integrity - Work in a company that values ethical leadership, compliance, and risk management.
Who You Are
- Requires a bachelor's degree or equivalent, plus 10 years of related experience with a focus on compliance, supervision, or risk management in a BD/IA environment. Minimum of 3 years in a supervisory or managerial role required.
- FINRA Series 7, 66 and Series 24 registration required. FINRA Series 4 and 53 must be acquired within 12 months of hire. FINRA Series 99 preferred.
- Must possess strong knowledge and understanding of SEC, FINRA and other regulatory frameworks governing BD/IA activities, including knowledge of trading, sales, and compliance issues in the securities industry
- Shown experience in developing, implementing, and leading supervisory programs and internal controls
- Strong analytical and independent problem-solving skills with a proactive approach to identifying and addressing issues
- Requires the ability to make risk-based business decisions and then execute by providing clear and concise direction to employees and business partners
- Leverage strong interpersonal and project management skills to coordinate multiple priorities, with a strong attention to detail, in a fast-paced, fast paced environment
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)
$137000 - $185000 / 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 and 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 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
1/30/2025
Most Recently Posted Date
1/30/2025
LinkedIn Remote Hashtag
LinkedIn Hashtag
Salary : $137,000 - $185,000
