Director - Supervisory Surveillance

Director-Supervisory Surveillance

We're looking for a Director-Supervisory Surveillance to join our Benefits & Protection team. In this role, you'll oversee Principal Securities' centralized surveillance program supporting broker-dealer and registered investment adviser (RIA) supervision and operations. Responsible for the design, governance, and continuous enhancement of surveillance frameworks across trade, electronic communication, and best interest platforms. Brings deep expertise in financial services supervision, data strategy, and team leadership to drive effective oversight and ensure compliance with evolving regulatory standards. Plays a pivotal role in shaping the future of supervisory surveillance, managing current operations, and scaling for future growth.

Design and implement data-driven supervision strategies, including surveillance parameters and testing protocols, aligned with regulatory expectations and business goals. Partner with cross-functional teams to analyze supervision-related datasets and ensure surveillance operations are efficient, scalable, and strategically aligned.

Lead and manage a team of surveillance analysts responsible for reviewing data alerts, identifying patterns, trends, potential risks, and escalating issues to field supervision. Develop and deliver training programs on surveillance protocols and best practices. Oversee performance management, quality assurance, and foster a culture of proactive compliance, continuous improvement, and team collaboration.

Manage surveillance tools and technologies, including vendor relationships and contract oversight. Lead implementation and optimization of technical solutions supporting supervisory controls. Benchmark surveillance parameters and ensure calibration with industry standards. Develop dashboards and reporting metrics to provide actionable insights to senior leadership.

Maintain up-to-date knowledge of regulatory requirements and examination priorities. Produce custom reports, trade blotters, and data sets for internal use and regulatory inquiries. Support ad hoc data requests and ensure timely, accurate responses during examinations.

Perform other job-related duties and special projects as needed.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Who You Are :

• Bachelor's degree in business or related field
• 10+ years in broker-dealer and RIA supervision, surveillance, or compliance
• Active FINRA series 4, 7, 24, 52 / 53 and 66 (or 63 & 65). Obtain any missing registrations within 12 months of start date.
• Experience with surveillance platforms, systems, and vendor management
• Strong data analytics and technical integration skills
• Proficiency in Microsoft 365 suite of tools
• Proven leadership experience managing teams and initiatives
• Deep understanding of SEC, FINRA, and state regulatory frameworks
• Excellent communication, organizational, and decision-making skills
• High attention to detail and confidentiality
• Travel may be required (up to 10%), including overnight stays
• Experience and familiarity with artificial intelligence tools and their application in surveillance is highly desirable, as these technologies are increasingly shaping the future of compliance and supervision oversight.
• Familiarity with data visualization tools (e.g., Tableau, Power BI) preferred
• Experience supporting regulatory exams and inquiries preferred
• Broad product knowledge across mutual funds, ETFs, fixed income, equities, annuities, alternative investments, and fee-based advisory platforms is strongly preferred.

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. $123,000 - $167,000 / 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

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, Charlotte NC, Raleigh 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 (https : / / www.uscis.gov / working-in-the-united-states / temporary-nonimmigrant-workers) and Green Card for Employment-Based Immigrants (https : / / www.uscis.gov / green-card / green-card-eligibility / 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.

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.