Job Description

Responsibilitiesn

For over 50 years, Principal Securities, Inc. (PSI) has been the retail broker-dealer and registered investment advisor (RIA) for Principal. As of 2019, Principal Securities has roughly 650 sales locations and approximately 3,000 registered representatives, which includes those conducting business in Principal Advisor Network and Principal Connection.

n

n

Principal Securities offers a platform of securities; stocks, bonds, mutual funds, exchange-traded funds, variable and indexed annuities, retirement plans and other investment products for advisors to offer to their clients. In addition to the platform of securities, they give advisors access to technology and support to help them conduct business with their customers. Principal Securities serves a wide range of end-customers, including individuals, corporations, trustees, companies sponsoring retirement plans and more.

n

n

As the Chief Supervision Officer you will report directly to Principal Securities, Incu2019s President and oversee a team responsible for the firmu2019s Supervisory program. This position, in conjunction with the firmu2019s CCO, defines, implements and oversees the firmu2019s supervisory program to ensure proper compliance with FINRA, SEC and state regulatory requirements.

n

n

What youu2019ll do:

n

n

n
* Lead a team charged with oversight and monitoring of the field and home officeregistered supervision program(s).n
* Responsible for broker dealer and investment advisor supervision, surveillance and monitoring activities.n
* Engagement and management of supervision monitoring tools and platforms used for supervision and surveillance for broker dealer and investment advisor.n
* Ensure that the supervision team is identifying gaps and remediating appropriately to comply with FINRA, SEC and state regulations.n
* Play a key role in transformation initiatives.n
* Represent the firm on industry committees, roundtables and seminars.nn

Qualificationsnn
* Bacheloru2019s degree preferred; additional degrees (MBA/JD) a plusn
* 10+ yearu2019s financial services industry experience, with significant experience in senior level roles in broker dealer and investment advisor compliance, risk, operations, technology or continuous improvement.n
* Experience leading large-scale transformation or change initiatives.n
* Experience designing and implementing new technology systems or digital tools.n
* Experience with LEAN, Six-sigma, Agile methodologies.n
* Securities licenses: FINRA Series 4, 7, 24, 53, 66 (63+65).n
* Insurances licenses a plus.nn

Additional Informationn

Work Authorization/Sponsorship

n

At this time, we're not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role. (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)

n

Investment Code of Ethics

n

For Principal Global Investors positions, youu2019ll 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.

n

Experience Principal

n

While our expertise spans the globe, we're bound by one common purpose: to foster a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees u2013 individually and all of us together. Explore our core values, benefits and why weu2019re an exceptional place to grow your career.

n

Principal is an Equal Opportunity Employer

n

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.