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Field Supervisory Assoc
Principal Financial Group
East Grand Rapids, MI, United States
Job Details - this job has expired, please see similar jobs below
Job Area:
Sales
Business Area:
Individual Distribution
Career Category:
Experienced Professional
Full/Part Time:
Full-Time
Regular/Temporary:
Regular
Date Posted:
05/04/2018
The prestige of a Fortune 500 company; the feel of a small business.
At Principal®, every role supports a greater purpose— to help people live their best lives. And after more than 130 years we’ve never had a more vibrant and dynamic global team united in our purpose.
Our employees are empowered to do their best work. We care about more than just skillsets and job responsibilities. We’re invested in helping our employees diversify their experiences, meet new challenges and reach bigger goals. Working at Principal comes with many opportunities and paths for career growth—all in the kind of welcoming, collaborative and community-spirited environment you’ll look forward to working in every day.
Responsibilities:
Assist Supervising Registered Representative (SRR) and advisors with supervisory related functions in the supervision oversight of Registered Representatives (RR) associated with the Offices of Supervisory Jurisdiction (OSJ) to which the Field Supervisory Associate Agency Supervisory Associate is assigned.
Additional responsibilities include:
• Review of Monthly Compliance Report (MCR) and the paperwork associated with the MCR such as, check logs, trade blotters, gift logs, entertainment logs, and hard copy correspondence. Perform email review on behalf of assigned SRRS. Perform initial review of OBA and DBA disclosures from Registered Representatives and advertising/marketing material submissions. Conduct quarterly social media review and monitoring. Work with home office Compliance Regional Compliance Directors (RCD) team to monitor and keep Form BR up to date.
• Stay abreast of firm policies and procedures. Provide ongoing individualized compliance coaching and guidance to RRs and be available for questions. Provide training and education to RRs and SRRs, using materials and information from home office, during office meetings and in small groups as requested.
• Assist the Offices, SRRs, and Principal Securities, Inc., and Principal Life Insurance with regulatory exams and desk audits branch exams. Coordinate gathering information in regards to exams, inquiries, audits, complaints and other compliance related matters. Investigate, document and help SRRs resolve concerns related to internal audit findings, exception reporting, regulatory exams and inquiries.
• Meet regularly with SRR and provide appropriate reports documenting found issues, concerns and ongoing efforts to resolve outstanding issues.
Qualifications:
• Bachelor’s degree or equivalent plus 6 - 8 years of related experience required.
• FINRA Series 7, 65/66 and 24, also required to obtain 51 & 53 registration within 3 months of hire.
• Knowledge of securities broker dealer operations and registered investment advisory activities.
• Product knowledge in Life, Disability Income, Fixed and Variable Annuities, Mutual Funds and Securities.
• Must possess excellent people skills with ability to develop strong cooperative working relationships while maintaining independence, often requiring significant level of diplomacy.
• Must have strong skills in written and oral communication analysis and organization.
• Ability to analyze data relative to risk and controls, develop conclusions and implement appropriate responses in a timely manner.
• Attention to detail and the ability to handle multiple priorities are required.
• Must be able to maintain a high degree of confidentiality.
• Strong computer skills with Microsoft Word, Excel and Outlook required.
• Some travel required including overnight stays.
Visa Sponsorship:
This position is not eligible for sponsorship for work authorization by Principal. Therefore, if you will require sponsorship for work authorization now or in the future, we cannot consider your application at this time.
Location:
This position may be located in Lansing, MI or Grand Rapids, MI.
AAEEO:
Principal is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to 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.
Interview Details:
What’s next? Innovation at its finest.
We’ll review your application and if you’re selected for an interview, you’ll receive an invite for an On-Demand Video interview. Haven’t done that before, don’t worry. We’ve got all the tips and tricks available to help you be successful. With an On-Demand Video Interview, you can add your own flair and personality – at your pace.
Be sure to check your email frequently. We’ll communicate our decisions through the email address used on your online profile. If you receive an email from Principal Talent Team, you’ve been selected to begin your video interview and have a set time to submit once you log in.