The Offer

• A role that offers a breadth of learning opportunities
• Opportunity to make a positive impact
• Opportunity within a company with a solid track record of performance

The Job

You will be responsible for :

• Manage the stakeholder expectation to support the operations from PGS, comply with the FINRA and regulatory guidelines; apply knowledge of operations and broker-dealer supervision and FINRA regulations / procedures, and state & federal regulations to make appropriate, accurate, and timely decisions.
• Ensuring the Reporting in terms of team & individual training progress to superiors.
• Communicates strategy, company goals and deadlines to team. Motivate team members and assesses performance.
• Communicates concerns and policies among management and team members.
• Responsible for effective stakeholder management, new migrations, customer satisfaction, operational risk management and for building the culture of innovation and process simplification.
• Design, develop, coordinate, and conduct large or small-scale training programs required for individuals and teams.
• Review general transactions by associates in all Principal Securities products to ensure they are appropriate for the client and adhere to regulations.
• Responsible for reviewing new business, emails, processes, financial plans, analyzing products, and communicating with our Principal Advisor Network
• Managing the training & mentoring as per the business requirements.
• Act as a liaison between Compliance and various operations areas to
• ensure the smooth transition of business and to fulfill reporting requirements
• set forth by state and federal securities regulators. May assist Broker-Dealer
• operations and Compliance to research, respond and settle formal customer
• complaints.
•   Maintain comprehensive knowledge of all securities products and services
• offered by Principal Securities, and the system capabilities of Principal
• Securities. Including a sound understanding of applicable rules and
• regulations. This includes a sound understanding of system capabilities
• 
  

The Profile

• FINRA Series 7 and Series 24 required; Series 66 an advantage.
• Bachelor’s degree/ master’s degree or equivalent of 8 years of work experience, plus 2+ years related in financial services, securities operations, compliance and or supervision
• Previous work experience in direct management and leadership roles
• High degree of accuracy and attention to detail.
• Ability maintain confidentiality.
• Effective stakeholder management
• Excellent written and verbal communications skills
• Willingness and ability to work in rotational shift.
• Demonstrated flexibility to adapt to changes in procedures and job assignments
• Ability to work independently and seek solutions to problems
• Prioritization skills to schedule work to meet deadlines
• Developed analytical skills to evaluate and determine the appropriate course of action to meet the goals of the business.
• Ability to follow detailed instructions and make independent decisions.

The Employer

Our client is dedicated to improving the wealth and well-being of people and businesses around the world—helping more than 62 M customers plan, protect, invest, and retire as of December 31, 2023.