Broker Dealer Counselor II
Principal Financial Group 167 reviews - Des Moines, IA

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Do you enjoy working in a fast paced environment and multitasking to meet deadlines? Is providing excellent service important to you? Is the financial services industry interesting to you? If so, this might be the role for you!

We are seeking top talent to join our team as a Broker Dealer Counselor II. In this role, you will work in a fast paced environment to provide outstanding service to our registered representatives and clients in a variety of activities all within strict adherence to FINRA & SEC securities regulations. On a daily basis, you can expect to:
  • Provide support and answer questions about brokerage and Advisory accounts
  • Process individual securities trades (stocks, mutual funds, bonds, etc) for brokerage accounts and handle trade allocations and billing setup for Advisory accounts
  • Assist representatives with service requests including money movement, account instructions, and research.
Qualifications: Although we prefer candidates who currently have a FINRA Series 7 license, successful candidates would have:

  • Bachelor's degree or equivalent.
  • Prefer candidates with a Series 7, 24 or Series 6. FINRA Series 7 license or passage of FINRA Series 7 required within 3 months. Series 66 may be required.
  • Must have excellent knowledge of state and federal security regulations.
  • Must have 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 is required.
  • Must have strong team player skills and work well in a team oriented environment.
Background Check Requirements: Employment at Principal is contingent upon successful completion of a background check.

Visa Sponsorship: This position is not eligible for sponsorship for work authorization by The Principal. Therefore, if you will require sponsorship for work authorization now or in the future, we cannot consider your application at this time.

Job Level: Willing to consider candidates at a higher level.

About this company
167 reviews
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