Responsibilities

Assistant Manager, Dealing & Investment Support

 

 

 

At Principal, we invest in what matters. And building dedicated teams is where it all begins. We’re drawn to people who bring outstanding perspectives, passion, and expertise to help us advance the financial security and well-being of our customers. We also aim to transform our growing business and drive positive change in the communities where we live and work.

 

When we invest in you, and you invest in us, great things happen.

 

We are looking for Assistant Manager, Dealer & Investment Support who will directly report to Head of Dealing & Investment Support. Overall, responsible for executing investment orders in accordance with approved investment decisions and guidelines while providing comprehensive trading and investment support to ensure efficient portfolio implementation and market execution

 

Responsibilities:

• Implement buy and sell orders across approved asset classes following approved investment decisions, mandates, and internal guidelines, carefully ensuring alignment with execution quality standards.
• Supervise and coordinate daily trading and fulfillment activities across assigned asset classes, including Bonds, Deposits, FX, Unit Trusts, ETFs, TFEX, REITs, and Equities.
• Monitor market conditions, liquidity, pricing, and execution venues to optimize trade outcomes and minimize transaction costs.
• Deliver timely market intelligence, pricing updates, and execution insights to aid effective portfolio implementation and investment decision-making.
• Coordinate closely with brokers, counterparties, custodians, and internal collaborators to ensure efficient completion, access to liquidity, and flawless trade settlement.
• Ensure accurate and timely trade confirmations, reconciliation, and coordination with operations to resolve settlement issues and exceptions.
• Maintain comprehensive trading records, execution data, and documentation in relevant systems; continuously enhance trading workflows and data quality.
• Prepare and deliver trading reports, analytics, and documentation required by internal management, risk teams, and external collaborators in a timely and accurate manner.
• Ensure full compliance with internal risk frameworks, company and group policies, operating procedures, and all applicable SEC and regulatory requirements.
• Support post-trade analysis, including execution reviews and transaction cost analysis, to improve trading efficiency and controls.
• Participate in special projects, system enhancements, and other related responsibilities as assigned.

Qualifications

• Relevant professional qualifications, including Investment Consultant (IC) License, Bond Trader License, Fund Manager License, CFA Level I, or CISA Level I, would be an advantage.
• At least 2 years of demonstrated experience in dealing or a related financial position.
• Single License (IP) issued by SEC is required.
• Extensive understanding of a wide variety of financial instruments, including Bonds, Deposits, FX, Unit Trusts, ETFs, TFEX, and Equities.
• Solid understanding of market structure, liquidity dynamics, and execution mechanics across multiple asset classes.
• Proven ability to build, manage, and maintain strong professional relationships with brokers, counterparties, and internal collaborators.
• Strong negotiation capabilities to achieve competitive pricing, advantageous execution conditions, and access to liquidity.
• Demonstrated capability to make timely and sound decisions in fast‑moving, high‑pressure environments, often with incomplete information.
• Strong prioritization and execution rigor, with the ability to manage multiple trades and deadlines simultaneously.
• High attention to detail with a strong focus on accuracy, control, and risk awareness in trading and post‑trade processes.
• Clear and effective communication skills, both verbal and written, to support coordination and issue resolution across functions.
• Skilled in making quick and effective decisions under pressure, with the capability to prioritize and manage tasks efficiently.
• Experience with Charles River Investment System (CRD) is a plus.

Additional Information

Who We Are

Principal Financial Group is a Fortune 500 global leader in financial services specializing in insurance, retirement, and asset management. We have 18,000 employees and 51 million customers around the world with over $714B in assets under management.