Associate Financial Advisor - Workplace Personal Investing

What You'll Do

We’re looking for an Associate Financial Advisor to join our Workplace Personal Investing team! In this position, you will:

• Support clients beginning their financial journey by delivering foundational financial advice and client service.
• Assist clients with onboarding, basic financial and investment education, and digital planning tools.
• Act as the initial point of contact, conducting discovery conversations to understand client goals and referring more complex needs to senior advisors. 

For unlicensed talent, the company offers a Pre-Licensure Training Period, during which you will complete required study, training, and preparation activities needed to obtain your regulatory licenses. Licensure is required within 90 days of hire and is an essential component of the role.

What You’ll Do During the Pre‑Licensure Period (First 90 Days)

• Participate in required training programs, study sessions, and licensing preparation activities.
• Demonstrate consistent progress toward meeting all regulatory licensing requirements.
• Complete assigned coursework, checkpoints, and study milestones.  

What You’ll Do After Licensure (Activated Upon Licensure)

Once licensed, you will begin full Associate Financial Advisor responsibilities, including client interactions, recommendations, and transactional support aligned with the core duties described above.

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

• Securities Industry Essentials (SIE) required for consideration
• Series 7 and Series 66 (or Series 63 and 65) required, or the ability to obtain within 90 days of hire
• Commitment to ongoing professional development, including pursuit of designations such as, ChFC, CFP, CPWA, or equivalent
• Applicable experience in financial services (internships, client service, advisory support, etc.)
• Ability to assess client needs, ask thoughtful questions, and identify solutions aligned to client goals
• Familiarity with financial planning concepts and investment principles
• Strong interest in individual investment strategy and personal planning
• Clear and empathetic communication skills
• Ability to grasp and explain complex topics in simple ways for people to understand
• Self-awareness and teachability
• Strong organizational skills and ability to prioritize effectively
• Comfort with digital tools and willingness to learn new platforms
• Ability to support growth objectives through identifying client needs and referral opportunities 

What Will Help You Stand Out

• Active Series 7 and Series 66 (or 63 and 65)
• Bachelor’s degree and/or experience in Finance, Economics, Business, or related field 

Salary Range Information

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)

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

• Des Moines, IA: $58,900 - 79,800 / year
• Charlotte, NC: $62,000 - 84,000 / year

Time Off Program

Pension Eligible

Conditions of Employment

Continued employment is contingent upon obtaining and maintaining required licensure within the designated timeline.

Start Dates

We are hiring for two planned start cohorts:

• June 1: For candidates who will obtain the required FINRA licenses as part of onboarding through the Pre‑Licensure Period
• August 31 (with flexibility for an earlier start): For candidates who already hold the required licenses 

Work Locations

This role is based in our Des Moines, IA or Charlotte, NC hub locations. To support immersive onboarding and development, this position will require being in‑office at least 4 days a week for approximately the first six months. After this initial period, a more flexible hybrid work arrangement will be introduced.

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.

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