Advisory Operations Specialist

Role Description

As an Advisory Operations Specialist, you will support our advisory platform and ensure clear communication and accuracy in managing registered representatives' needs. You will join a team that assists in solving complex problems and offers high-quality investment analysis and asset allocation modeling support. Your work will help advisors develop suitable portfolios for clients and craft base models for wider application. This role requires both technical skills and the ability to apply strategies that effectively position our products.

• Support advisory platform needs and questions from registered representatives to ensure information is complete, detailed, communicated, and maintained pursuant to strict securities regulations.
• Support colleagues in addressing intricate problems and challenges connected to securities transactions, account status, commissions, or operational procedures.
• Provide investment analysis and asset allocation modeling assistance for the fee-based programs of Principal Securities within our retail distribution channel.
• Work with advisors to build appropriate portfolios for their clients and help develop base models for broader use.
• Help advisors understand the product features to aid sales and assess competitor products to position ours effectively.
• Address and resolve intricate issues related to securities transactions, account status, commissions, or operational procedures.
• Stay informed about the investment universe to help respond to product-related inquiries and contribute to setting initial targets for attractive assets given the prevailing market conditions.
• Work with the team to develop models with appropriate risk and assist advisors with building portfolios and accounts out of drift.
• Provide general education on stocks, bonds, ETFs, and general investment questions.

Qualifications

• Bachelor's degree or equivalent, plus 3+ years of related experience.
• Active FINRA Series 7 license.
• Knowledge of fee-based accounts or Envestnet preferred.
• Investment background and ability to understand market/economic conditions required.
• Strong written and verbal communication as well as organizational and time-management skills.
• Good analytical skills and understanding of investments.
• Ability to use analytical tools and excellent knowledge of word processing, spreadsheet and presentation applications.
• Able to work independently and must be adept at managing multiple requests with strict deadlines.

Requirements

• Licenses must be held in conformity with state and federal rules and company standards as detailed in the existing licensing policy.
• The following licenses need to be acquired within 6 months of hiring: Series 63.

Benefits

• 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.

Salary Range Information

• Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly): $69,300 - $126,000 / year.
• Wichita, KS: $69,300 - $94,500 / year.
• Des Moines, IA: $73,150 - $99,750 / year.
• Charlotte, NC: $77,000 - $105,000 / year.
• Chicago/Minneapolis: $84,700 - $115,500 / year.
• Los Angeles/New York City: $92,400 - $126,000 / year.

Work Environment

• This is a remote position.

Work Authorization/Sponsorship

• At this time, we are not considering applicants who require any form of immigration sponsorship to work in the United States now or in the future.

Investment Ethics Code

• In Principal Asset Management positions, you are required to observe an Investment Code of Ethics regarding conduct and personal trading for yourself and those living with you.

Experience Principal

At Principal, we believe in forming connections both personally and professionally. Together, we’re crafting a future for financial services that is guided by purpose – and that begins with you. Our success depends on the outstanding experiences, backgrounds, and talents of our employees. We provide support to our employees in the same way as our customers. Our inclusive and competitive benefits protect physical, financial, and social well-being.

Company Description

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.

Original Posting Date

4/24/2026

Most Recently Posted Date

4/24/2026

LinkedIn Remote Hashtag

#LI-Remote