Field Supervisor 2
- Location
- Pittsburgh, Pennsylvania, United States
- Work mode
- On-site
- Employment type
- Full-time
- Salary
- $0 – $0 / year
About the job
What You'll Do
We’re looking for a Field Supervisor 2 to join our P rincipal Securities Broker Dealer team . In this role, you'll r eview the most complex transactions in products offered by Principal Securities to ensure they are consistent with firm standards and adhere to regulations, while maintaining customer experience by comp l eting reviews in a timely and accurate manner.
- Review new securities business submitted by financial professionals to ensure compliance with firm standards and applicable regulatory requirements.
- Review and follow-up on field supervision items including social media review, processing, hard copy correspondence, and electronic check log. May handle some escalated issues. This may involve reviewing financial plans, analyzing products, and communicating with our Principal Advisor Network.
- Act as a lead in liaison duties between Principal Securities Supervision and various Operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. Work with Broker Dealer Operations and Compliance to research, respond and settle formal customer complaints.
- Assist in the scheduling, preparation, and follow-up of annual visits.
- Maintain comprehensive knowledge of all securities products and services offered by Principal Securities, and system capabilities of Principal Securities. This includes maintaining a sound understanding of applicable rules and regulations and system capabilities.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
Who You Are
- 4+ years of financial services experience, including prior experience directly supervising financial professionals within a Broker-Dealer/RIA environment.
- Bachelor degree or equivalent work experience required .
• FINRA Series 7, 24, 66 ( 63+65 ) License( s) required , with the ability to meet firm standards for registration within applicable jurisdictions .
- FINRA Series 7, 24, 66 ( 63+65 ) License( s) required , with the ability to meet firm standards for registration within applicable jurisdictions .
From Principal Financial's careers page (Company careers page), checked 30 Oct 2026.
How to apply
- Select Apply on principal.com. It opens Principal Financial's own application form in a new tab, run on Company careers page.
- Fill in the form and upload your résumé there. Jobiwork never sees your application.
- Principal Financial will reply to you directly. No real employer asks you for money to apply.
Posted 29 Oct 2026 · checked 30 Oct 2026 · Report this job