Broker Dealer Ops Associate I

What You'll Do

Principal is seeking a highly motivated individual for a Broker Dealer Operations Associate I position. In this role you'll provide service and administrative assistance to registered representatives, clients, and internal customers. You will communicate information, respond timely to inquiries from representatives and clients, and maintain accurate databases. Ensure customer satisfaction through completing customer transactions in a timely and accurate manner.

• Review and process administrative tasks as they relate to the Broker Dealer Administrative team which includes establishing new transaction-based accounts, initiating incoming transfer of assets, as well as other various maintenance requests.
• Ensure accurate and correct paperwork is received and handled appropriately utilizing available resources to research customer and registered representative requests, inquiries, Not in Good Order (NIGO) situations, or complex problems.
• Partner with and provide timely assistance to our financial professionals and internal customers within the organization regarding all aspects of responsibilities within the role.
• Provide mentorship to the team if questions or issues arise to help ensure accurate processing within SLA.
• Recommend and supports in the development and implementation of work flow updates. This may involve learning about other departments or competitors and ways to improve our products and services.
• 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 necessary 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.

Who You Are

• Associates degree in business related field or equivalent work experience.
• 1+ year of prior work related work experience preferred.
• Must become an associated person of Principal Securities.
• FINRA Securities Industry Essentials (SIE) exam required within 12 months.
• Excellent oral and written communication, organizational, problem solving, prioritization, interpersonal, and time management skills necessary.
• 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.
• Must be able to work independently in a fast-paced work environment.
• Good teamwork skills required.

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)

$18.17 - $36.35 / hour
Salary Details

The following levels and locations are examples of market-specific salary ranges across different job levels and geographies. Candidates will be evaluated to determine the appropriate job level based on their skills and experience. 

• Wichita, KS:
  • Broker Dealer Ops Associate I: $18.17 - $24.23 / hr
  • Broker Dealer Ops Associate II: $20.34 - $27.26 / hr
• Des Moines, IA:
  • Broker Dealer Ops Associate I: $19.18 - $25.58 / hr
  • Broker Dealer Ops Associate II: $21.47 - $28.77 / hr
• Charlotte, NC:
  • Broker Dealer Ops Associate I: $20.19 - $26.92/ hr
  • Broker Dealer Ops Associate II: $22.60 - $30.29 / hr
• Chicago/Minneapolis:
  • Broker Dealer Ops Associate I: $22.21 - $29.62 / hr
  • Broker Dealer Ops Associate II: $24.86 - $33.32 / hr
• Los Angeles/New York City:
  • Broker Dealer Ops Associate I: $24.23 hr - $32.31 / hr
  • Broker Dealer Ops Associate II: $27.12 - $36.35 / hr

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

Work Environments

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

6/18/2026

Most Recently Posted Date

6/18/2026

 

Principal uses artificial intelligence tools to assist in reviewing and evaluating job applications, fraud prevention, and candidate matching and comparisons. These AI tools support our human recruiters in the initial review process but do not make final hiring decisions without human involvement. By submitting your application, you acknowledge this use of AI in our recruitment process. Please review our Workforce (U.S.) Privacy Notice for more details on our practices and your data privacy rights.

LinkedIn Remote Hashtag

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