What You'll Do Are you ready to shape the future of supervision and compliance at one of the most respected financial institutions in the industry? We’re seeking an accomplished leader to oversee our Individual Solutions RIA and Broker-Dealer Supervisory Program. This high-impact role reports directly to the President of Principal Advisory Services with a matrixed relationship to the President of Principal Securities. In partnership with the firm’s Chief Compliance Officer, you will define, implement, and lead a best-in-class supervisory framework that ensures full compliance with FINRA, SEC, RIA, and state regulatory requirements, while also driving innovation and enhancing the experience for our advisors and internal teams. What You’ll Do: Lead with Vision: Head a dynamic team charged with oversight and monitoring of the firm’s registered home office supervision program for both broker-dealer and RIA channels. Drive Compliance Excellence: Oversee surveillance and monitoring operations, including transaction review processes, to uphold rigorous standards of regulatory compliance. Empower Tools & Technology: Manage the adoption and optimization of supervision technology platforms and monitoring tools to increase oversight efficiency. Close Gaps, Reduce Risk: Ensure the team proactively identifies supervisory gaps and implements effective remediation strategies in alignment with evolving regulatory demands—including FINRA, SEC, AML, and more. Champion Strategic Transformation: Be a key voice in transformation initiatives—streamlining supervision controls to enhance the advisor and employee experience while strengthening risk management and operational efficiency. Be the Face of Principal: Represent the firm on industry committees, conferences, and regulatory roundtables—establishing Principal as a thought leader in compliance and supervision. Think Big Picture: Offer forward-looking strategic guidance on high-priority initiatives, balancing short-term needs with long-term planning and enterprise-level impacts. Why Join Us? This is more than a leadership role, it’s a chance to help shape the future of our business. You'll work at the intersection of risk management, innovation, and advisor experience, collaborating with executive leadership and influencing the broader industry landscape. Who You Are Bachelor’s degree preferred; additional degrees (MBA/JD) a plus 10+ years of experience in the financial services industry, with extensive senior-level expertise in broker-dealer and investment advisor compliance, risk management, operations, technology, or continuous improvement, and 4+ years of leadership experience. Experience leading large-scale transformation or change initiatives. Experience designing and implementing new technology systems or digital tools. Experience with LEAN, Six-sigma, Agile methodologies. Securities licenses: FINRA Series, 7, 24, 66 (63+65) required. CFP preferred. Insurances licenses a plus. Salary Range Information Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly) $153000 - $207000 / year Time Off Program Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible Yes Additional Information 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. Original Posting Date 7/25/2025 Most Recently Posted Date 7/25/2025 LinkedIn Remote Hashtag #LI-Remote LinkedIn Hashtag #LI-MT1