[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.

Responsibilities

• Lead risk-based surveillance reviews of transactions, accounts, and advisor activity to identify suitability, fiduciary, Reg BI, and policy concerns
• Investigate and resolve surveillance alerts across trading activity, advisory programs, and representative conduct—serving as an escalation point for complex issues
• Evaluate account activity against client profiles, including risk tolerance, objectives, and investment strategies
• Analyze surveillance data and activity trends to identify outliers, emerging risks, and thematic issues—and clearly communicate insights to leadership
• Partner directly with RRs and IARs to gather context, assess risk, and drive timely, well-reasoned resolutions
• Apply strong judgment in complex or gray-area scenarios, determining appropriate outcomes and escalation paths
• Maintain thorough documentation of investigations and conclusions in line with regulatory and audit expectations
• Mentor junior analysts and serve as a subject-matter expert within the team
• Collaborate across supervision, compliance, and advisory teams to ensure consistent and aligned outcomes
• Contribute to enhancing surveillance capabilities—including alert design, thresholds, and overall program effectiveness
• Support regulatory exams, audits, and internal reviews, including preparing documentation and supervisory narratives
• Stay current on regulatory developments and incorporate evolving expectations into surveillance practices

Skills

• Bachelor's degree or equivalent experience
• 6+ years in broker-dealer or investment adviser surveillance, supervision, or compliance
• Required licenses: Series 7, 24, and 66 (or 63/65)
• Strong knowledge of FINRA supervisory rules, Regulation Best Interest, and SEC fiduciary standards
• Broad 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 decisions
• Demonstrated sound judgment and the ability to influence outcomes through analysis and escalation
• Strong communication skills with the ability to engage advisors, auditors, and leadership
• Leadership mindset with experience mentoring or guiding others
• Highly organized with strong attention to detail and ability to manage multiple priorities in a fast-paced environment
• Series 4 and/or 53 preferred

Benefits

• 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.
• 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 Eligible

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