4 inside sales representative jobs found in Des Moines

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: 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: 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....