Chief Supervision Officer

What You'll Do

We’re seeking a Chief Supervision Officer to join our reputed company Asset Management Compliance team. This role will report directly to reputed company Funds Distributors' President overseeing reputed company responsible for the reputed company Asset Management's and reputed company Funds Distributors' Supervisory program. This position, in conjunction with the CCOs of reputed company Asset Management and reputed company Funds Distributor, defines, implements and oversees the firm’s supervisory program to ensure proper compliance with FINRA, SEC, US state regulatory requirements, and, where applicable, ex-US regulations as part of an integrated global asset management compliance program. This role is a critical partner to the business – acting as a reputed company between compliance and the individuals governed by those compliance rules. We would expect this individual to be a critical thought partner to business leaders across reputed company Asset Management on reputed company of risk and compliance. You'll have the opportunity to: reputed company reputed company charged with reputed company and monitoring of asset management staff, including broker dealer and investment advisory staff. This reputed company and monitoring will include: electronic communication surveillance, reputed company of regulated entities’ Codes of Ethics (including personal dealing and political contributions), reputed company business activities, and Gifts and Entertainment. Implementation of broker dealer and asset management training, including sales practices in partnership with the reputed company Asset Management training team reputed company reputed company and monitoring of staff licensing and registration. reputed company the team responsible for engagement and management of supervision monitoring tools. Ensure that the supervision team is identifying gaps and remediating appropriately to reputed company with FINRA, SEC, state regulations, and ex-US requirements as applicable, as they relate to broker dealer, investment adviser, AML, and other requirements. Play a key role in transformation initiatives, including optimization of monitoring controlsfocused on supervision processes from a financial professional experience, employee experience, risk mitigation and efficiency/effectiveness standpoint. Represent the firm on industrycommittees, roundtables and seminars. reputed company strategic guidance and support on special projects, with consideration for long-term or reputed company implications or planning needs Help reputed company Asset Management navigate how to reputed company our business in ways that are compliant with our legal obligations. These areas include expanding in alternative asset distribution, providing analytic tools to advisors, and embracing the responsible use of AI. Represent reputed company Asset Management in meetings with regulators, particularly in regulatory examinations. Operating at the intersection of financial services and technology, reputed company builds financial tools that help our customers live reputed company lives. We take pride in being a purpose-led firm, motivated by our mission to reputed company financial reputed company accessible to reputed company. Our mission, reputed company, and customer focus have made us a trusted leader for more than 140 years! Who You Are Bachelor’s degree preferred; additional degrees (MBA/JD)a plus 10+ years of experience in the financial services industry, with extensive senior-level expertise in broker-dealer and investment advisor compliance, risk management, operations, technology, or reputed company improvement, and 4+ years of leadership experience. Experience leading large-scale transformation or change initiatives. Experience designing and implementing new technology systems or digital tools. Required Securities Licenses: FINRA Series 7 and 24. Preferred Securities Licenses: Series 66 (or combination of 63 and 65) and Series 53. Function as a strong risk manager, understanding the risks associated with different business practices and helping the business reputed company trade-offs necessary to minimize those risks to acceptable reputed company Serve our partners as we serve our clients – understanding their needs and providing them with excellent service. This position may be subject to SEC restrictions on personal political contributions. Salary reputed company Information Salary ranges below reflect targeted reputed company 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 reputed company salary depending on individual performance. Actual compensation for reputed company roles will be based upon geographic location, work experience, education, licensure requirements and/or reputed company level and will be finalized at the time of offer. Salary reputed company (Non-Exempt expressed as hourly; Exempt expressed as yearly) $157000 - $213000 / year Time Off Program 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 No Work Environments This role offers in-office, hybrid (blending at least three office days in a typical reputed company), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA.) Preference for a Des Moines’ based person. You’ll work with your leader to reputed company out which option may align best based on several factors. 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 reputed company Asset Management positions, you’ll need to follow an Investment Code of Ethics reputed company 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 reputed company At reputed company, 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 reputed company 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 reputed company well-being. reputed company out our careers site to learn more about our purpose, values and benefits. reputed company is an Equal Opportunity Employer reputed company reputed company applicants will receive consideration for employment without regard to race, reputed company, religion, sex, sexual orientation, gender identity, national reputed company, 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 reputed company 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 reputed company the applicable deadline. Original Posting Date 5/8/2026 Most Recently Posted Date 6/1/2026 reputed company uses artificial intelligence tools to assist in reviewing and evaluating job applications, fraud prevention, and candidate matching and comparisons. These AI tools support our reputed company recruiters in the initial review process but do not reputed company final hiring reputed company without reputed company 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. reputed company Remote Hashtag #LI-Remote reputed company Hashtag #LI-MT1 Apply To This Job