What You'll Do Principal is seeking highly motivated individuals for a Broker Dealer Operations Associate I position. You will provide service and administrative assistance to registered representatives, clients, and internal customers. You will Communicate information and respond to inquiries from representatives and clients and maintain accurate databases. Review and establish both self-sponsored and non proprietary transaction-based accounts ensuring they are processed both accurately and within SLA. Process other administrative tasks as they relate to the Broker Dealer Administrative team. Partner with financial professionals to get items back into "good order". Respond quickly and accurately to assist our clients. Build and maintain securities transfers for ACATs, Non-ACATs, and mutual funds. This may include review, entry into systems, maintenance, communication, and follow up Ensure accurate and correct paperwork is received and handled appropriately applying available resources to research more sophisticated customer and registered representative requests, inquiries, or problems and provide prompt information and/or service. Call out to customers and financial professionals to resolve incomplete requests and to find solutions to problems and/or complaints. Collaborate with appropriate leaders/management on difficult/exception situations and problems. Represent the company and in a professional manner to ensure retention and accumulation of assets. Must adhere to strict FINRA and SEC rules and regulations, and also process work in accordance with Customer Identity, Anti-Money Laundering and OFAC guidelines. Must notify leader immediately when a suspicious transaction is presented. Specific knowledge of securities regulations will be vital as daily processing will be for products such as stocks, bonds, mutual funds and certificates of deposits. Perform other job-related duties or special projects as required Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years! Who You Are Associates degree in business related field or equivalent work experience 2+ years of prior work related experience preferred You’ll be required to become a non-registered fingerprint person of Principal Securities Securities experience and/or FINRA SIE license is recommended Excellent oral and written communication, organizational, problem solving, prioritization, interpersonal, and time management skills vital Requires basic computer skills and the ability to learn business unit software Must have basic typing and 10-key calculator skills Requires a high degree of accuracy with a strong attention to detail Able to work independently in a fast-paced work environment Salary Range Information Salary ranges below reflect targeted base salaries. 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. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly) $15.12 - $31.73 / hour Time Off Program Personal Time Off (PTO) is provided to hourly (non-exempt) employees and provides a set amount of accrued time earned each pay period. Employees can use their PTO for vacation, personal or short-term illness. Pension Eligible Yes Additional Information Job Level We’ll consider talent at the next level with the right experiences and skills. Work Environments This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements. You’ll work with your leader to figure out which option may align best based on several factors. Work Authorization/Sponsorship At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links. Nonimmigrant Workers and Green Card for Employment-Based Immigrants Investment Code of Ethics For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization. Experience Principal At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits. Principal is an Equal Opportunity Employer All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. Posting Window We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Original Posting Date 11/8/2024 Most Recently Posted Date 11/8/2024 LinkedIn Remote Hashtag #LI-Remote