Principal Financial Group Surveillance Analyst - #223258 in Des Moines, Iowa
Job Area: All OtherBusiness Area: Principal SecuritiesLocation: IA - Des MoinesCareer Category: Experienced ProfessionalFull/Part Time: Full-TimeRegular/Temporary: RegularDate Posted: 2019-08-22
What you'll do
The primary responsibility of the Surveillance Analyst will be supervision and surveillance of investment products and solutions. Responsibilities include quarterly responses to field representatives along with analysis and resolution of specific flags. Initial responsibilities will focus more on RIA supervision and surveillance but may expand into broker-dealer related items. The other main responsibility will be monitoring email surveillance through a vendor solution. Monitoring includes review of communications, initial analysis and identification of suspicious activity as well as escalating cases for further review.
What you'll get from us
Competitive pay, benefits, perks and more. We’ll reward you for the skills and experience you have. Find out more.
A great place to live, work and play. Greater Des Moines is one of the fastest-growing metro areas in the country. Given its vibrant and welcoming culture, it’s no wonder Des Moines has garnered so much national recognition—including #3 Best Affordable Place to Live (U.S. News & World Report, 2019).
Respect for your unique perspective. Diversity, inclusion and empowerment are at the core of our culture.
A career, not just a job. Principal is a place where you can learn and innovate. Do important work. Make an impact. And achieve your professional goals.
The ability to have a great job and a great life. Sure, work is important. But so is your family. And your friends. And your community. That’s why we provide the flexibility needed to find the right balance between your job and the rest of your life.
Excellent interpersonal, communication, and teamwork skills.
Critical thinking; thoughtful, reasoned approach to problem solving using data to reach a solution
Strong computer skills and obtain knowledge of business unit software.
Data Analytics reporting tools experience (Microsoft Access, Excel, Power BI, etc) is preferred.
Bachelor’s degree or equivalent 8 years work experience.
2+ years of prior work related experience working with Mutual Funds and Annuities.
Experience working with additional investment products preferred.
Active FINRA Series 7 and 24 is required.
Active FINRA Series 53 and 66 is preferred. Series 66 may be required within 6 months of hire.
How we hire
Once you apply, your application is hand reviewed by our talent team. Generally within a few weeks, the team makes interview selection decisions and communicates those via email. If selected, you’ll receive an email from Principal Talent Team to complete a pre-recorded interview on your own time. Be sure to check your email frequently and follow the steps shared to submit timely.
Learn more about our hiring steps and find answers to frequently asked questions.
At this time, we're not able to consider candidates needing sponsorship now or in the future or those needing work authorization for this role. (This includes students on F1-OPT, F1-CPT, J-1, etc.) However, we’d hope you continue to keep us in mind for future opportunities.
Principal is an Affirmative Action and Equal Opportunity Employer
All qualified applicants will receive consideration for employment without regard to of age, race, color, religion, sex, gender identity, gender expression, pregnancy, national origin, citizenship status, disability, genetic characteristics, sexual orientation, marital status, domestic partner status, military status, protected veteran status, disability status or any other characteristic protected by law.
Investment Code of Ethics
For positions with Principal Global Investors, you will be required to follow a Code of Ethics which covers a number of obligations 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.
Who we are
We help people build the kinds of lives they dream about—empowered by financial security and stability. We started in 1879 (yes, 1879) as an insurance company. Today, we’re a member of the FORTUNE 500® and a global investment management leader.
So that’s what we do. As far as who we are, well, we believe that how we do things is just as important as what we do.
Doing what’s right has been a part of who we are for more than 140 years. We focus on taking care of not only our employees, customers and advisors, but also the people who live in the communities where we do business.
Learn more about our values in the workplace.
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