Regional Supervision Manager (West Coast)

Principal Financial Group

Part-time

Salary

$0 - $0 per yearly

Location(s)

  • Des Moines IA US

Description

In this key position, you will lead and mentor a team of registered principals who supervise and monitor business activities of securities registered representatives and investment adviser representatives affiliated with Principal Securities, Inc. You will ensure compliance with FINRA regulations, SEC rules, state laws, and internal policies while maintaining strong supervisory controls. Additiona

Tags

  • Cybersecurity
  • Finance & Accounting
  • Supply Chain

How to apply

Apply for this job at: https://api.collabwork.com/api:1SHNakFf/xmljobs?ref=MjViYjIxOWZkMTczNGQ0MmJiNmZjMDlhNTczM2U0ZWN8Y2QxMzUxYTctNGMyYi00YzczLThkM2MtMDI4NWNjYjBmZTgx&utm_source=collabworkv3site