Assistant Director - PSI Licensing and Registration - Principal Financial Group : Job Details

Overview

Assistant Director - PSI Licensing and Registration role at Principal Financial Group. This position is part of the PSI Business Optimization team and serves as a strategic leader within Principal Securities, Inc (PSI). You will oversee the full lifecycle of licensing and registration operations to ensure regulatory compliance, operational excellence, and scalable infrastructure to support firm growth. The Assistant Director will lead a high-performing team, drive process innovation, and implement technology solutions that enhance efficiency and accuracy across all FINRA/SEC licensing and registration activities.

Responsibilities

• Leadership & Talent Development - Provide direction and mentorship to a team of licensing and registration professionals, fostering a culture of accountability, collaboration, and continuous improvement.
• Operational Excellence - Own and optimize licensing and registration workflows for representatives and entities across Broker-Dealer and RIA channels. Ensure timely and accurate filings in alignment with FINRA, SEC, and state regulations for onboarding and offboarding of all PSI associated individuals.
• Technology Enablement - Evaluate and implement systems and tools to automate and streamline licensing and registration processes. Partner with IT and vendors to enhance platforms such as CRD, IARD, and internal compliance systems.
• Regulatory Compliance & Risk Mitigation - Monitor regulatory changes and proactively adjust internal processes. Conduct periodic audits and develop controls to minimize compliance risk.
• Cross-Functional Collaboration - Act as a liaison between internal teams to ensure alignment and transparency across departments.
• Strategic Projects & Growth Initiatives - Support onboarding of new representatives, acquisitions, and expansion efforts by ensuring licensing and registration infrastructure is scalable and responsive. Support offboarding of all PSI associated individuals.
• Perform other special projects and job-related duties as assigned.

Qualifications

• Minimum 5+ years of experience in licensing and registration within a Broker-Dealer/RIA environment.
• Proven leadership experience managing teams and complex operational processes.
• Series 7 preferred.
• Deep understanding of FINRA, SEC, and state-level regulatory requirements.
• Strong proficiency with CRD/IARD systems and licensing platforms.
• Demonstrated success in driving process improvements and leveraging technology.
• Excellent communication, analytical, and project management skills.

Salary and Benefits

Salary Range: $100,800 - $182,400 per year (non-exempt hourly; exempt yearly). Non-sales positions may have a bonus program; sales positions may be eligible for sales incentives and/or bonuses. Actual compensation is based on geography, experience, education, licensure, and/or skill level and finalized at offer.

Time Off and Work Arrangements

Flexible Time Off (FTO) is provided to salaried employees. Work arrangement options include in-office, hybrid (at least three office days per week), and remote work (for applicants residing more than 30 miles from Des Moines, IA), with final arrangement determined with the leader.

Work Authorization

Currently, Principal is not considering applicants who require immigration sponsorship now or in the future to work in the United States (e.g., F1-OPT, H-1B, TN, L-1, J-1, etc.).

Equity, Ethics & Compliance

Investment Code of Ethics applies for Principal Asset Management positions, including personal and business conduct and personal trading activities for you and household members, as applicable.

Equal Opportunity

Principal is an Equal Opportunity Employer. All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Posting Details

Original Posting Date: 9/25/2025

Most Recently Posted Date: 9/25/2025

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