Field Supervisor I (FINRA Series 24)

Responsibilities

• Review general transactions in all Principal Securities products to ensure they are appropriate for the client and adhere to regulations.
• 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.

Qualifications

• FINRA Series 7 and Series 24 required; Series 66 an advantage.
• Bachelor’s degree or equivalent work experience, and at least 2 years of related financial services industry work experience.
• Must be...