[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
Company Overview