[Remote] Senior Brokerage Surveillance Analyst

Note: The job is a remote job and is open to candidates in USA. Principal Financial Group is seeking a Senior Brokerage Surveillance Analyst to lead risk-based surveillance across broker-dealer and investment adviser activities. This role involves identifying and addressing regulatory risks, mentoring junior analysts, and continuously evolving the surveillance program to enhance its effectiveness.ResponsibilitiesLead risk-based surveillance reviews of transactions, accounts, and advisor activity to identify suitability, fiduciary, Reg BI, and policy concernsInvestigate and resolve surveillance alerts across trading activity, advisory programs, and representative conduct—serving as an escalation point for complex issuesEvaluate account activity against client profiles, including risk tolerance, objectives, and investment strategiesAnalyze surveillance data and activity trends to identify outliers, emerging risks, and thematic issues—and clearly communicate insights to leadershipPartner directly with RRs and IARs to gather context, assess risk, and drive timely, well-reasoned resolutionsApply strong judgment in complex or gray-area scenarios, determining appropriate outcomes and escalation pathsMaintain thorough documentation of investigations and conclusions in line with regulatory and audit expectationsMentor junior analysts and serve as a subject-matter expert within the teamCollaborate across supervision, compliance, and advisory teams to ensure consistent and aligned outcomesContribute to enhancing surveillance capabilities—including alert design, thresholds, and overall program effectivenessSupport regulatory exams, audits, and internal reviews, including preparing documentation and supervisory narrativesStay current on regulatory developments and incorporate evolving expectations into surveillance practicesSkillsBachelor's degree or equivalent experience6+ years in broker-dealer or investment adviser surveillance, supervision, or complianceRequired licenses: Series 7, 24, and 66 (or 63/65)Strong knowledge of FINRA supervisory rules, Regulation Best Interest, and SEC fiduciary standardsBroad exposure to brokerage and advisory products (e.g., mutual funds, annuities, managed accounts, alternatives)Proven ability to analyze surveillance data and translate insights into risk-based decisionsDemonstrated sound judgment and the ability to influence outcomes through analysis and escalationStrong communication skills with the ability to engage advisors, auditors, and leadershipLeadership mindset with experience mentoring or guiding othersHighly organized with strong attention to detail and ability to manage multiple priorities in a fast-paced environmentSeries 4 and/or 53 preferredBenefitsNon-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.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.Pension EligibleCompany OverviewPrincipal Financial Group® is dedicated to improving the wealth and well-being of people and businesses around the world—helping more than 62M customers plan, protect, invest, and retire as of December 31, 2023. It was founded in 1879, and is headquartered in Des Moines, Iowa, USA, with a workforce of 10001+ employees. Its website is https://www.principalam.com/.