Principal Chief Supervision Officer in Des Moines, Iowa
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.
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.
As the Chief Supervision Officer you will report directly to Principal Securities, Inc’s President and oversee a team responsible for the firm’s Supervisory program. This position, in conjunction with the firm’s CCO, defines, implements and oversees the firm’s supervisory program to ensure proper compliance with FINRA, SEC and state regulatory requirements.
What you’ll do:
- Lead a team charged with oversight and monitoring of the field and home office
registered supervision program(s).
Responsible for broker dealer and investment advisor supervision, surveillance and monitoring activities.
Engagement and management of supervision monitoring tools and platforms used for supervision and surveillance for broker dealer and investment advisor.
Ensure that the supervision team is identifying gaps and remediating appropriately to comply with FINRA, SEC and state regulations.
Play a key role in transformation initiatives.
Represent the firm on industry committees, roundtables and seminars.
Bachelor’s degree preferred; additional degrees (MBA/JD) a plus
10+ year’s financial services industry experience, with significant experience in senior level roles in broker dealer and investment advisor compliance, risk, operations, technology or continuous improvement.
Experience leading large-scale transformation or change initiatives.
Experience designing and implementing new technology systems or digital tools.
Experience with LEAN, Six-sigma, Agile methodologies.
Securities licenses: FINRA Series 4, 7, 24, 53, 66 (63+65).
Insurances licenses a plus.
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.)
Investment Code of Ethics
For Principal Global Investors positions, you’ll 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.
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 – individually and all of us together. Explore our core values, benefits and why we’re an exceptional place to grow your career.
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.
Requisition ID: 2021-29220
Enterprise Segment: USIS
Street: 711 High Street
FLSA Status: Exempt