Assistant Director - PSI Licensing and Registration

What You'll Do

We're looking for an Assistant Director - PSI Licensing and Registration to join our PSI Business Optimization team. In this role, you'll serve as a strategic leader within Principal Securities, Inc (PSI), responsible for overseeing the full lifecycle of licensing and registration operations. This role is critical to ensuring 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.

• 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 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.

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

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)

$100800 - $182400 / year

Time Off Program

Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is no set number of days provided.

Pension Eligible

Yes

Work Environments

This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA. 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

9 / 25 / 2025

Most Recently Posted Date

9 / 25 / 2025

LinkedIn Remote Hashtag

#LI-Remote