Principal Financial Group Assistant Director - Compliance - #220623 in Des Moines, Iowa

Job Area: Compliance/LegalBusiness Area: Principal SecuritiesLocation: IA - Des MoinesCareer Category: Experienced ProfessionalFull/Part Time: Full-TimeRegular/Temporary: RegularDate Posted: 2017-06-21

Be a part of something bigger

Do you want a career where you can make a real difference? At Principal®, you can.

We work with a greater purpose in mind—to give people the financial tools and confidence to live their best lives. And we take that to heart not only for our clients but also extend that to our employees.

By choosing to work at Principal, you'll be a part of making a difference in the lives of customers and in communities. And you can make a difference in your own life by joining a company that cares about its employees as much as it cares about its customers. From career development to comprehensive benefits to our vibrant, diverse work environment, you’ll find plenty of opportunities to enrich your personal and professional life.

Responsibilities

Manage and develop the Principal Advisor Network Compliance Program to ensure consistency with applicable state and federal securities laws and regulations. Provide oversight and leadership to the team focused on producer conduct and consumer dispute matters.

Additional responsibilities may include:

  • Provide Compliance Support to Principal Advisor Network. Assist with training of field supervisory support staff. Support and monitor compliance and supervisory activities in field offices. Implement and maintain compliance oversight policies and procedures for Principal Advisor Network to ensure activities, and those of service providers where appropriate, comply with applicable operating policies and procedures and applicable law.

  • Manage and develop the Business Conduct Team, providing oversight and guidance as to the activities of the team, including but not limited to producer conduct investigations, customer dispute resolution and regulatory interactions.

  • Develop and motivate compliance staff through selection, training and development and assist, emphasizing the company's commitment to maintaining a culture of compliance.

  • Assist the CCO and business unit leaders with ongoing risk assessment to ensure all risks have been identified and responsive policies and procedures have been developed and implemented to mitigate risks to the extent reasonably practicable.

  • Assist with the design and implementation of a written supervisory manual for the BD and RIA that is responsive to corporate needs, as well as regulatory requirements, to ensure the documentation of acceptable business practices and procedures. Research industry and regulatory changes, and implement procedural changes as necessary.

  • Perform other job related duties and special projects as required

Qualifications

Skills required:

  • Bachelor's degree plus or equivalent of 8 years’ experience.

  • 8+ year’s compliance or financial services industry experience required.

  • JD or MBA considered in lieu of some experience.

  • Active FINRA Series 7, 24 and 65/66 are preferred. If you do not have active licensing, Series 7, 24, 65/66 licensing must be obtained within 6 months from date of employment.

Successful candidates will have the following skills:

  • Extensive knowledge of applicable compliance and legal issues, various company products and services, and department operations.

  • Creative and self-directed with ability to consider a wide range of factors in solving problems.

  • Excellent leadership, negotiation, presentation, and organizational, skills required as well as superior interpersonal, relationship-building, analytical, time management, and oral and written communication skills.

  • 10-15% Travel. Including some overnights.

Visa Sponsorship

This position is not eligible for sponsorship for work authorization by Principal. Therefore, if you will require sponsorship for work authorization now or in the future, we cannot consider your application at this time.

Background Check Requirements

Employment at Principal is contingent upon successful completion of a background check. Because of the nature of the duties of this position, a credit and FINRA check is also required.

AAEEO

Principal is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, gender identity, gender expression, pregnancy, national origin, citizenship status, disability, genetic characteristics, sexual orientation, marital status, domestic partner status, military status, protected veteran status, disability status or any other characteristic protected by law.