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Registered Principal Jobs (NOW HIRING)

Managing Principal

La Jolla, CA · On-site

$142K - $213K/yr

The Managing Principal will serve as a top-level manager in a successful, growing office. He or she ... Must be a Registered Architect in your state of residence. * Must have a minimum of 15 years of ...

Managing Principal

La Jolla, CA · On-site

$142K - $213K/yr

The Managing Principal will serve as a top-level manager in a successful, growing office. He or she ... Must be a Registered Architect in your state of residence. * Must have a minimum of 15 years of ...

The Principal will serve as a top-level manager in a successful, growing office. He or she will ... Must be a Registered Architect in the State of Texas. • Must have a minimum of 20 years of ...

The Principal will serve as a top-level manager in a successful, growing office. He or she will ... Must be a Registered Architect in the State of Texas. • Must have a minimum of 15 years of ...

As Managing Principal, you will serve as a senior leader responsible for deepening client ... Licensed or Registered Architect required. * Minimum 15 years of relevant experience in the ...

The Principal will oversee all client relations for a particular Client or multiple Clients ... Must be a Registered Architect in the State Please Note: Delays may be experienced if uploading ...

$81K - $110K/yr

This role serves as a Registered Principal and supports New York Life's commitment to maintaining suitability standards, regulatory compliance, and exceptional service to the Field. The Senior ...

Regional Supervisory Principal

Omaha, NE · On-site +1

$75K - $100K/yr

In this role, you'll work closely with Registered Representatives and Insurance Agents, providing ... principal registration, and bonding. The Series 53 license is required upon hire or must be ...

... registered broker-dealer anticipated to receive FINRA approval in July 2026. AHCM will serve as a ... The Principal reports to Chris Blackwell, Partner and Head of AHCM. In addition to broker-dealer ...

A Principal upholds the highest standards of design excellence and innovation, with an ... Active Interior Design Certificate holder or Registered Architect in the country you reside * A ...

Showing results 41-60

Registered Principal information

See salary details

$36.5K

$109.4K

$182K

How much do registered principal jobs pay per year?

As of Aug 16, 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?

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 is a registered principal?

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.

Is being a registered principal a stressful job?

Being a registered principal can be stressful due to responsibilities such as overseeing compliance, managing regulatory requirements, and ensuring the firm's operations adhere to industry standards. The role often involves high accountability, strict deadlines, and the need for strong leadership and decision-making skills. However, stress levels vary depending on the firm's size, complexity, and individual experience.

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:

Infographic showing various Registered Principal job openings in the United States as of August 2026, with employment types broken down into 4% As Needed, 63% Full Time, 20% Part Time, and 13% Contract. Highlights an 97% Physical, 1% Hybrid, and 2% Remote job distribution, with an average salary of $109,393 per year, or $52.6 per hour.

Financial Consultant I - Principal Connection (Multiple Locations)

Principal Financial Group

Orlando, FL • On-site

$32.79 - $39.61/hr

Full-time

PTO

Posted 26 days ago


Job description

What You'll Do

Principal is seeking financial professionals to join our Retirement and Income Solutions - Principal Connection team. As a Financial Consultant I, you'll provide expert investment advisory services through our call center. You will work with a diverse client base including direct-to-consumer prospects, retail investment account holders, and participants in employer-sponsored retirement plans. In this role, you'll serve as a trusted advisor, combining your financial expertise with exceptional service to help clients navigate their investment journey and build financial security with confidence. Through personalized, compliant, and comprehensive guidance, you'll simplify complex financial concepts, inspire trust, build lasting client relationships, and empower clients to make confident, informed decisions about their financial future. Responsibilities include:

Customer Education & Engagement
  • Provide benefit event education to former participants, Personal Retirement Account holders, and individuals approaching benefit events, guiding them through investment and risk-based needs while communicating appropriate product solutions.
  • Facilitate transactions and coordinate introductions to specialized teams as needed to support customer goals and asset retention.
Investment Advisory Services
  • Conduct consultative conversations focused on clients' goals and best interests, assessing financial objectives, risk tolerance, and time horizons to recommend tailored solutions.
  • Communicate complex financial concepts clearly to build trust, confidence, and informed decision-making.
Relationship Building
  • Use active listening, emotional intelligence, and effective communication to understand customer needs, uncover additional opportunities, and build strong relationships that reflect the One Principal culture.
Compliance & Documentation
  • Maintain accurate documentation of customer interactions and ensure secure, compliant handling of customer data and transactions.
  • Adhere to compliance and risk management standards, including required regulatory training, licenses, and designations.
  • Manage client pipelines and application follow-up through timely and professional communication.
Continuous Improvement
  • Continuously expand market and product knowledge, adopt new tools, apply feedback, and support additional business objectives and projects as needed.

Who You Are
  • Bachelor's degree or equivalent plus 2+ years’ experience, preferably in the financial services industry.
  • Ability to obtain approval as a registered representative across all 50 states and Washington, D.C.
  • Excellent verbal and written communication skills and the ability to establish trust and rapport easily with customers over the phone.
  • Proficiency with computer desktop technology and digital communication mediums.
  • Detailed knowledge and expertise involving retail investments products as well as employer sponsored retirement plans.
  • Hard-working and able to make decisions that are in the best interest of our customers. This includes possessing a heartfelt passion to hold and maintain relationships with customers and members of their household.
  • Ability to work independently, be a self-starter, and demonstrate confidence in decisions.
  • Drive to constantly improve the customer experience working in a collaborative team-based culture.
  • Strong efficiency with time management and organizational skills.
Licensing Requirements

SIE and Series 7 licenses are required, along with one of the following:

  1. Series 66, OR
  2. Both Series 63 and Series 65

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)
$26.83 - $39.61 / hour
Salary Details

The following locations are examples of market-specific salary ranges across different geographies. 

  • Grand Island: $26.83 - $32.59 / hour
  • Des Moines/Orlando: $28.32 - $34.34 / hour
  • Charlotte/Atlanta/Phoenix/Dallas: $29.81 - $36.10 / hour
  • Minneapolis/Princeton/Denver: $32.79 - $39.61 / 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 Hours

The shifts for this position fall between 7:00AM and 9:00PM CT, Monday–Friday. You must be able to work an assigned eighthour shift within this window. A shift differential may be provided for hours worked starting at 6:00 PM.

Location(s)

This role offers in-office, hybrid and remote work arrangements. You’ll work with your leader to figure out which option may align best based on several factors. We are hiring in: Des Moines, IA - Charlotte, NC - Raleigh, NC - Richmond, VA - Grand Island, NE - Minneapolis, MN - St. Louis, MO - Chicago, IL - Denver, CO - Salt Lake City, UT - Atlanta, GA - Dallas, TX - Fort Worth, TX - Phoenix, AZ - Miami, FL - Tampa, FL - Jacksonville, FL - Orlando, FL - San Diego, CA - Bridgewater, NJ - Cherry Hill, NJ - Princeton, NJ - Austin, TX

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 ImmigrantsInvestment 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.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.


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
7/20/2026
Most Recently Posted Date
7/27/2026
 

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


#LI-Remote

LinkedIn Hashtag


#LI-BS1Qualifications:
  • Bachelor's degree or equivalent plus 2+ years’ experience, preferably in the financial services industry.
  • Ability to obtain approval as a registered representative across all 50 states and Washington, D.C.
  • Excellent verbal and written communication skills and the ability to establish trust and rapport easily with customers over the phone.
  • Proficiency with computer desktop technology and digital communication mediums.
  • Detailed knowledge and expertise involving retail investments products as well as employer sponsored retirement plans.
  • Hard-working and able to make decisions that are in the best interest of our customers. This includes possessing a heartfelt passion to hold and maintain relationships with customers and members of their household.
  • Ability to work independently, be a self-starter, and demonstrate confidence in decisions.
  • Drive to constantly improve the customer experience working in a collaborative team-based culture.
  • Strong efficiency with time management and organizational skills.
Licensing Requirements

SIE and Series 7 licenses are required, along with one of the following:

  1. Series 66, OR
  2. Both Series 63 and Series 65
Education:UNAVAILABLEEmployment Type: FULL_TIME