Principal Financial Group is dedicated to improving the wealth and well-being of people and businesses around the worldhelping more than 62M customers plan, protect, invest, and retire as of December 31, 2023. Along the way, we commit to supporting the communities where we do business. Improving our planet. And building a diverse, inclusive workforce. We're proud to be recognized as a Best Place to Work in Money Management by Pensions & Investments for the 11th consecutive year, an Ethisphere World's Most Ethical Companies for the 12th time and as Forbes The Best Employers for Diversity 2023. Disclosure: Insurance products issued by Principal National Life Insurance Company (except in NY) and Principal Life Insurance Company. Plan administrative services offered by Principal Life. Principal Funds, Inc. is distributed by Principal Funds Distributor, Inc. Securities offered through Principal Securities, Inc., member SIPC and/or independent broker/dealers. Investment advisory services are offered through Principal Global Investors, LLC or its affiliates. Principal Asset Management is a trade name of Principal Global Investors, LLC. Referenced companies are members of the Principal Financial Group, Des Moines, IA 50392. 2024 Principal Financial Services, Inc. Principal Financial Group Foundation, Inc. (Principal Foundation) is a duly recognized 501(c)(3) entity focused on providing philanthropic support to programs that build financial security in the communities where Principal Financial Group, Inc. (Principal) operates. While Principal Foundation receives funding from Principal, Principal Foundation is a distinct, independent, charitable entity. Principal Foundation does not practice any form of investment advisory services and is not authorized to do so. https://www.principal.com/social-media-disclosures
The Role
You Will Be Responsible For
- Manage the stakeholder expectation to support the operations from PGS, comply with the FINRA and regulatory guidelines; apply knowledge of operations and broker-dealer supervision and FINRA regulations / procedures, and state & federal regulations to make appropriate, accurate, and timely decisions.
- Ensuring the Reporting in terms of team & individual training progress to superiors.
- Communicates strategy, company goals and deadlines to team. Motivate team members and assesses performance.
- Communicates concerns and policies among management and team members.
- Responsible for effective stakeholder management, new migrations, customer satisfaction, operational risk management and for building the culture of innovation and process simplification.
- Design, develop, coordinate, and conduct large or small-scale training programs required for individuals and teams.
- Review general transactions by associates in all Principal Securities products to ensure they are appropriate for the client and adhere to regulations.
- Responsible for reviewing new business, emails, processes, financial plans, analyzing products, and communicating with our Principal Advisor Network
- Managing the training & mentoring as per the business requirements.
- Act as a liaison between Compliance and various operations areas to
- ensure the smooth transition of business and to fulfill reporting requirements
- set forth by state and federal securities regulators. May assist Broker-Dealer
- operations and Compliance to research, respond and settle formal customer
- complaints.
- Maintain comprehensive knowledge of all securities products and services
- offered by Principal Securities, and the system capabilities of Principal
- Securities. Including a sound understanding of applicable rules and
- regulations. This includes a sound understanding of system capabilities
Ideal Profile
- FINRA Series 7 and Series 24 required; Series 66 an advantage.
- Bachelor's degree/ master's degree or equivalent of 8 years of work experience, plus 2+ years related in financial services, securities operations, compliance and or supervision
- Previous work experience in direct management and leadership roles
- High degree of accuracy and attention to detail.
- Ability maintain confidentiality.
- Effective stakeholder management
- Excellent written and verbal communications skills
- Willingness and ability to work in rotational shift.
- Demonstrated flexibility to adapt to changes in procedures and job assignments
- Ability to work independently and seek solutions to problems
- Prioritization skills to schedule work to meet deadlines
- Developed analytical skills to evaluate and determine the appropriate course of action to meet the goals of the business.
- Ability to follow detailed instructions and make independent decisions.
What's on Offer
- A role that offers a breadth of learning opportunities
- Opportunity to make a positive impact
- Opportunity within a company with a solid track record of performance
