Hybrid Director of Supervisory Controls en Principal Financial Group
Principal Financial Group · Des Moines, Estados Unidos De América · Hybrid
- Senior
- Oficina en Des Moines
The Director of Supervisory Controls is responsible for leading training programs, quality control initiatives, regulatory compliance efforts, and key projects within the Broker-Dealer Supervision department. This role ensures adherence to FINRA, SEC, and state regulations, as well as internal policies, while maintaining robust supervisory controls that protect the firm and its clients. The Director will act as a primary liaison for regulatory inquiries and internal audits, driving operational excellence and consistency across supervisory functions.
Training Oversight
Develop, implement, and maintain comprehensive training programs for supervision staff.
Track and report training completion rates, ensuring documentation is up to date.
Identify skill gaps and create targeted coaching and development plans.
Conduct regular training assessments, updating content as needed.
Create, maintain, and update Written Supervisory Procedures (WSPs) and Standard Operating Procedures (SOPs) for the Supervision team.
Quality Control
Design and implement quality control (QC) sampling methodologies for new business supervisory reviews.
Evaluate supervision activities to ensure consistent application of policies and compliance across teams.
Analyze QC results, identify trends, and recommend process improvements.
Maintain clear documentation of QC sampling procedures, findings, and remediation actions.
Regulatory Management
Serve as the primary contact for internal audits, compliance testing, and regulatory examinations.
Coordinate timely and accurate responses to audit and examination requests.
Prepare, maintain, and organize all audit-related documentation.
Build strong relationships with internal and external auditors, ensuring high-quality responses to regulatory inquiries.
Project Management
Lead supervision-related projects and strategic initiatives from inception to completion.
Coordinate cross-functional teams to achieve project milestones.
Monitor and mitigate project risks, ensuring timely delivery of objectives.
Provide regular project updates and performance metrics to senior leadership.
- Bachelor's degree or equivalent required, plus 10+ years of related experience within supervision; project management, regulatory management, quality control and training oversight.
- FINRA Series 7, 24 required. 65/66 preferred.
- Strong knowledge of FINRA/SEC regulations
- Project management experience
- Ability to manage multiple priorities/projects
- Business unit and company product knowledge required.
- Excellent planning/organizational, problem-solving and analytical skills
- Excellent listening, oral/written communication, and presentation skills required.
- Musthave strong coaching and leadership skills
- Excellent time management and decision-making skills.
- Mustbe accurate and meticulously detail oriented.
- Ability to maintain confidentiality is essential.
Work Environments
This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). You’ll work with your leader to figure out which option may align best based on several factors.
Work Authorization/Sponsorship
At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based Immigrants
Investment Code of Ethics
For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics 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.
Experience Principal
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.
Principal is an Equal Opportunity Employer
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
Posting Window:We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.Date First Posted (TTF):8/21/2025Latest Post Date: Careers - US:8/21/2025LinkedIn Remote Hashtag
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