Broker Dealer Trader II

2 days ago


Des Moines, Iowa, United States Principal Financial Group Full time
Job Summary

We are seeking a highly skilled Broker Dealer Trader II to join our team at Principal Financial Group. As a key member of our Broker Dealer Services team, you will provide exceptional service to our clients and registered representatives by resolving complex issues and answering questions related to investment accounts.

Key Responsibilities
  • Provide daily phone support to registered representatives and clients, responding to questions and resolving problems related to brokerage accounts, trade approvals, compliance regulations, and available products.
  • Collaborate with partners to ensure seamless execution of Brokerage and Advisory platform trading functions.
  • Work on daily reports and other requirements, adhering to strict adherence to Firm, FINRA, and SEC regulations.
  • Review and correct errors in FINRA reported timelines, ensuring Best Execution of trades.
  • Provide system assistance and training to registered representatives and clients on software used to enter trades, view accounts, acquire research, and manage portfolios.
  • Perform other job-related duties and special projects as required, including a focus on advisory products.
Requirements
  • Bachelor's degree or equivalent experience.
  • Active FINRA Series 7, 24, and 66 licenses.
  • Excellent knowledge of state and federal security regulations.
  • Excellent verbal and written communication skills, including telephone communication experience and grammar and letter writing skills.
  • Organizational skills and ability to handle multiple tasks concurrently.
  • Highly skilled at fostering teamwork and performing effectively in a team-oriented atmosphere.
Preferred Qualifications
  • 2+ years of prior Broker Dealer experience.
  • FINRA Series 53 and 4 licenses.
  • Prior FINRA CAT experience.
What We Offer

At Principal Financial Group, we offer a competitive salary range, flexible time off, and a comprehensive benefits package, including pension eligibility. We are an equal opportunity employer and welcome applications from diverse candidates.



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