Job Description
**What You'll Do**
Join Principal Financial Group as a **Field Supervisor 2!** You’ll review complex Principal Securities transactions to ensure compliance, deliver a high-quality customer experience, and partner closely with Compliance and Operations to support smooth processes and reporting.
+ Review and follow-up on field supervision items including review and approval of general business submitted by our Financial Professionals.
+ Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
+ Assist in the scheduling, preparation, and follow-up of annual visits.
+ Keep up-to-date expertise on all securities products and services available through Principal Securities, as well as the system features of Principal Securities.
+ Maintain a solid grasp of relevant rules and regulations alongside system capabilities.
+ Informally lead the team by training and mentoring newer members to the team and mainta...
Join Principal Financial Group as a **Field Supervisor 2!** You’ll review complex Principal Securities transactions to ensure compliance, deliver a high-quality customer experience, and partner closely with Compliance and Operations to support smooth processes and reporting.
+ Review and follow-up on field supervision items including review and approval of general business submitted by our Financial Professionals.
+ Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
+ Assist in the scheduling, preparation, and follow-up of annual visits.
+ Keep up-to-date expertise on all securities products and services available through Principal Securities, as well as the system features of Principal Securities.
+ Maintain a solid grasp of relevant rules and regulations alongside system capabilities.
+ Informally lead the team by training and mentoring newer members to the team and mainta...
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