4 supervisor jobs found

What You'll Do: In this role, you will lead and mentor supervisors who manage the activities of securities registered representatives and investment adviser representatives at Principal Securities, Inc. (PSI). You will ensure full adherence to FINRA regulations, SEC rules, state laws, and internal policies while maintaining robust supervisory controls. You will also promote clear communication and develop cooperative relationships with PSI’s affiliated managers and financial professionals.   Coordinate, manage, and support a team of supervisors assigned to monitor the broker-dealer and RIA supervision program. Serve as the main contact in the Supervision Department for financial professionals and managers, addressing compliance and supervision-related communications, customer complaints, and business conduct issues. Assist in developing a shared services model of supervisory oversight. Establish positive relationships with managers, registered representatives,...

What You'll Do: In this key position, you will lead and mentor a team of registered principals who supervise and monitor business activities of securities registered representatives and investment adviser representatives affiliated with Principal Securities, Inc. (PSI). You will ensure compliance with FINRA regulations, SEC rules, state laws, and internal policies while maintaining strong supervisory controls. Additionally, you will promote clear communication and relationship building with PSI’s affiliated sales managers and financial professionals.   Manage, supervise, and lead registered principals for an assigned region, coordinating the monitoring of retail-facing Financial Professionals. Serve as the main contact in the Supervision Department for the field, field leaders, and supervision-related communications, customer complaints, and business conduct issues. Monitor timings and conduct capacity planning to ensure the efficient completion of new business reviews....

What You'll Do: As a Senior, Client Service Manager , you will manage day-to-day client relationships within our Large Market business and manage an assigned portfolio to ensure accuracy and timely service. This role builds trust by helping clients navigate questions, issues, and requests while maintaining service standards and company policies. By providing dependable support and solutions, helps clients get their needs met accurately and on time, strengthens satisfaction, fosters long-term relationships, and supports improvements that drive retention and business growth. Manage a large client portfolio with complex plan structures. Provide proactive, strategic guidance to clients, including plan design considerations and compliance implications. Resolve escalated or sensitive client issues independently. Review and approve highly complex transactions, ensuring compliance and operational integrity. Conduct detailed account and trend analysis to mitigate errors or risks....

What You'll Do: We're looking for a Safety & Security Specialist to provide day-to-day security for our Home Office employees.    Here are few examples of the kinds of things you’ll do: Responsible for detailed patrol of the corporate complex to ensure a safe and secure operating environment. This includes regular inspections and verification of functionality of alarms, security doors, elevator phones, CCTVs, etc. Report and assist in the resolution of hazardous or safety related problems. Provide a high level of customer service assistance to visitors entering campus and ensure proper access is followed. Knowledge and ability to staff all security posts while monitoring entrances to building, alarm responses and reception duties. Responds to and conducts interviews to obtain complete and accurate information regarding incidents occurring involving employees and/or property to include but not limited to criminal actions, vehicle and pedestrian accidents,...