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$36.5K

$109.4K

$182K

How much do registered principal jobs pay per year?

As of Jun 8, 2026, the average yearly pay for registered principal in the United States is $109,393.00, according to ZipRecruiter salary data. Most workers in this role earn between $85,000.00 and $125,000.00 per year, depending on experience, location, and employer.

What are some of the primary challenges Registered Principals face in overseeing compliance within a financial advisory firm?

Registered Principals often encounter challenges such as keeping up with evolving regulatory requirements, ensuring all registered representatives adhere to firm policies, and conducting thorough supervision of client transactions. Balancing a heavy compliance workload with day-to-day operations can be demanding, particularly in larger firms or during audit cycles. Successful Registered Principals frequently collaborate with compliance departments, provide ongoing training to advisors, and leverage technology to streamline monitoring and reporting tasks.

What are the key skills and qualifications needed to thrive as a Registered Principal, and why are they important?

To thrive as a Registered Principal, you need a deep understanding of securities regulations, compliance procedures, and supervisory practices, typically supported by FINRA Series 24 and other relevant licenses. Familiarity with compliance monitoring systems, trade surveillance software, and regulatory reporting tools is essential. Strong analytical skills, attention to detail, integrity, and clear communication are vital soft skills for ensuring adherence to industry standards and leading teams. These competencies are crucial for maintaining regulatory compliance, minimizing risk, and upholding the firm’s reputation in the financial industry.

What is the difference between Registered Principal vs Registered Representative?

AspectRegistered PrincipalRegistered Representative
CredentialsMust hold necessary licenses and pass qualification exams; responsible for supervising representativesMust hold licenses and pass exams; authorized to sell securities
Work EnvironmentOversees and supervises brokerage activities, compliance, and staffEngages directly with clients, sells securities, and provides investment advice
Employer & Industry UsageTypically employed by broker-dealers, investment firms, or financial institutionsWorks under a Registered Principal, often as a financial advisor or broker

In summary, a Registered Principal is responsible for supervising and overseeing the activities of Registered Representatives, ensuring compliance and regulatory adherence. Meanwhile, a Registered Representative actively engages in client interactions and securities transactions. Both roles require licensing, but the Principal holds additional supervisory responsibilities within the industry.

What are Registered Principals?

Registered Principals are licensed professionals in the financial services industry who oversee and supervise the work of brokers and other registered representatives within a firm. They ensure compliance with industry regulations, such as those set by FINRA and the SEC, and are responsible for approving new accounts, transactions, and marketing materials. Registered Principals play a key role in maintaining ethical standards and protecting clients by monitoring firm activities and providing ongoing training to staff. To become a Registered Principal, individuals must pass specific qualification exams, such as the FINRA Series 24.
More about Registered Principal jobs
What cities are hiring for Registered Principal jobs? Cities with the most Registered Principal job openings:
What are the most commonly searched types of Registered Principal jobs? The most popular types of Registered Principal jobs are:
What states have the most Registered Principal jobs? States with the most job openings for Registered Principal jobs include:
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Registered Principal jobs near you
Infographic showing various Registered Principal job openings in the United States as of May 2026, with employment types broken down into 100% Full Time. Highlights an 100% In-person job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Wealth Management Operations Principal

Farm Bureau Financial Services

West Des Moines, IA

Other

Medical, Dental, Vision, Life, Retirement, PTO

Posted 8 days ago

Job description

Wealth ManagementOperations Principal Do you pay great attention to detail, and have strong organizational and time management skills? Are you a team player with a positive "can-do" attitude? Do you have strong customer service skills and experience in the Broker/Dealer industry?

If so, this Wealth Management Operations Principal opportunity on our Wealth Management team could be a great fit for you! Who We Are: With Farm Bureau Financial Services, our client/members can feel confident knowing their family, home, cars, and other property are protected. We value a culture where integrity, teamwork, passion, service, leadership, and accountability are at the heart of every decision we make and every action we take.

We're proud of our more than 80-year commitment to protecting the livelihoods and futures of our client/members and creating an atmosphere where our employees thrive. What You'll Do: As an Operations Specialist - Wealth Management, you will partner with Agent Registered Representatives and Investment Advisor Representatives to help grow their businesses. This role is also a registered principal with additional responsibilities to assist with overseeing operational and trading activities.

You will: Respond to and resolve Agent Registered Representatives and Investment Advisor Representatives requests via phone and email according to Farm Bureau policies and clearing firm guidelines in a prompt and efficient way. Review new account applications and any included business ensuring all business, compliance and regulatory requirements are met. Perform mutual fund and annuity business suitability review and delivery to product companies - including change of dealer requests.

Provide onboarding of field support to Wealth Management Advisors with operational processes and technology platforms. Cross train in areas such as new advisor onboarding, financial planning review, direct business, and sales support. What It Takes to Join Our Team: Two years of relevant experience and previous experience with a broker dealer required.

Series 7 and Series 24 Principal required. Series 53 and Series 65/66 preferred. Strong analytical, problem solving, and training skills are required.

Must be able to work 8:00am-4:30pm Monday - Friday from our office in West Des Moines, IA. What We Offer You: When you're on our team, you get more than a great paycheck. You'll hear about career development and educational opportunities.

We offer an enhanced 401K with a match, low-cost health, dental, and vision benefits, and life and disability insurance options. We also offer paid time off, including holidays and volunteer time, and teams who know how to have fun. Add to that an onsite wellness facility with fitness classes and programs, a daycare center, a cafeteria, and even an onsite medical clinic.

Farm Bureau....where the grass really IS greener! If you're interested in joining a company that appreciates its employees, provides growth and professional development opportunities, and offers great benefits, we invite you to apply today! Work Authorization/Sponsorship: At this time, we are not considering candidates that need any type of immigration sponsorship now or in the future, such as additional or permanent work authorization.

Applicants must be currently authorized to work in the United States on a full-time, permanent basis. We are not able to sponsor now or in the future, or take over sponsorship of, an employment visa or work authorization for this role. For example, we are not considering candidates with OPT status.

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