Broker Dealer Trader II

1 month ago

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

We are seeking a highly skilled Broker Dealer Trader II to join our team at Principal Financial Group, Inc. This role provides prompt, courteous, and excellent service to registered representatives, investment advisors, and clients by solving problems and answering questions about investment accounts.

Key Responsibilities
  • Provide daily phone support to Principal Securities registered reps and their clients related to brokerage accounts holding a wide array of securities.
  • Respond to questions and resolve problems relating to potential and existing customer accounts, trade approvals, compliance regulations, available products, and industry information.
  • Specific knowledge of securities regulations will be necessary to appropriately respond while staying in compliance with FINRA and SEC Regulations.
  • Work on daily reports and other requirements while adhering to strict adherence to Firm, FINRA, and SEC regulations.
  • Responsible for reviewing for Best Execution of trades to analyze, research, and report on deficiencies.
  • Login to FINRA CAT portal daily to review and correct any errors within FINRA reported timelines.
  • Work to maintain firm policies and procedures and ensure adherence by the team.
  • Provide system assistance and training to registered representatives and clients on software used to enter trades, view accounts, acquire research, and manage portfolios.
  • Encourage users to learn new functionality and help them to submit orders through the system.
  • Perform other job-related duties and special projects as required, including a focus on advisory products.
Requirements
  • Bachelor's degree or equivalent experience.
  • Holds active FINRA Series 7, 24, and 66.
  • Excellent knowledge of state and federal security regulations.
  • Excellent verbal/written communication skills, including telephone communication experience/skills and grammar and letter writing skills.
  • Organizational skills and ability to handle multiple tasks concurrently.
  • Highly skilled at fostering teamwork and perform effectively in a team-oriented atmosphere.
Preferred Qualifications
  • 2+ years of prior Broker Dealer experience.
  • FINRA Series 53 and 4.
  • Prior FINRA CAT experience helpful.
Benefits

Principal Financial Group, Inc. offers a competitive salary range of $51,000 to $98,400 per year, flexible time off, and a pension plan. This role offers in-office, hybrid, and remote work arrangements. We are an equal opportunity employer and welcome applications from diverse candidates.

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