Field Supervisor 2, Securities Supervision

Job overview

The Field Supervisor 2, Securities Supervision role is remote within Delaware, Maryland, New Jersey, Pennsylvania, or Virginia; the listed salary range is $84,600–$152,400 per year. The role supports Principal Securities Broker Dealer supervision and reviews transactions to help maintain firm standards and regulatory compliance. The role exists to oversee complex securities business and field-supervision items while supporting timely, accurate processing and customer experience. It also connects supervision with operations and compliance teams to resolve issues and meet reporting requirements.

What you'll do

• Review securities business submitted by financial professionals for compliance with firm standards and regulations
• follow up on field-supervision items, including social media review and processing
• handle some escalated issues
• liaise between Principal Securities Supervision and Operations
• work with Broker Dealer Operations and Compliance on formal customer complaints
• assist with scheduling, preparation, and follow-up of annual visits
• maintain knowledge of securities products, services, rules, and systems.

What we're looking for

Skills & competencies

field supervisor 2

securities supervision

broker-dealer

ria

finra series 7

finra series 24

finra series 66

remote

mid-atlantic

principal financial group

$84,600–$152,400/year

Work arrangement

• Weekend coverage required

Benefits & perks

• Flexible Time Off for salaried employees
• pension eligible
• benefits information is available through the company careers site.

Why this role

Remote hiring is limited to Delaware, Maryland, New Jersey, Pennsylvania, or Virginia; FINRA Series 7, 24, and 66 (or 63 and 65) licenses are required.

About the employer

Principal Financial Group is hiring for this role. Industry: Miscellaneous Intermediation. Sector: 52.