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Risk Manager/Analyst Regulatory Compliance Specialist

Field Supervisor: Compliance & Surveillance

Job in Des Moines, Polk County, Iowa, 50319, USA
Listing for: Principal Financial Services, Inc.
Full Time position
Listed on 2026-02-28
Job specializations:
  • Finance & Banking
    Risk Manager/Analyst, Regulatory Compliance Specialist
  • Management
    Risk Manager/Analyst, Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 110200 - 148200 USD Yearly USD 110200.00 148200.00 YEAR
Job Description & How to Apply Below
A leading financial services firm in Des Moines is seeking an experienced Field Supervisor 3 to oversee financial representatives and investment advisors. The role involves monitoring compliance, conducting onsite reviews, and supporting field leadership. Candidates need 5+ years in financial services, active securities licenses, and strong communication skills. This position offers a competitive salary ranging from $110,200 to $148,200 annually, along with flexible time off and pension eligibility.
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