PSI Supervisor II (FINRA Series 24)

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, were 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. 

At Principal Financial Group, we believe in enabling our employees to contribute to our success. As a PSI Supervisor II, you will:

• Regularly interact with Regional Supervisors and Supervision leadership to ensure seamless operations.
• Review, analyze, and process transactions in accordance with business process documents, ensuring accuracy and attention to detail.
• Perform "first-touch" supervisory responsibilities, including E-mail review, new account review, surveillances, and correspondence review.
• Successfully implement special projects, risk-related research, and build comprehensive reporting.
• Ensure customer happiness by meeting service standards through methodical transaction processing.
• Contribute to the achievement of team objectives and demonstrate continuous learning to impact work positively.
• Provide timely responses to queries from internal and external collaborators.
• Follow all compliance, information security, and all internal and external statutory and regulatory requirements without exception.

To thrive in this role, you must have:

• A minimum of 2 years of FINRA Supervision or Compliance experience.
• Securities licenses FINRA Series SIE, 7, 24 (or 9 and 10).
• Strong knowledge of financial services and the investment advisory domain.
• Excellent written and oral communication skills.
• Proficiency in MS Office, including Excel, SharePoint, Word, and Power Point.
• Logical and analytical reasoning skills, with a willingness to learn and adapt.
• The ability to work effectively under pressure in a fast paced, team-based environment.
• The capability to prioritize tasks effectively and demonstrate flexibility as business needs change.
• A personable and reliable self-starter attitude, requiring minimal strategic direction.
• A standout colleague spirit with great initiative, flexibility, and excellent judgment.

Why Join Us?

At Principal Financial Group, we offer a collaborative environment that encourages personal and professional growth. Our dedication to excellence and innovation ensures that you will work on ambitious projects and become part of a world-class team. Your contributions will be highly valued, and you will have the chance to create a significant impact!