Principal Compliance Advisor in Des Moines, Iowa
As a Compliance Advisor on the Principal Securities Compliance team supporting the Registered Investment Adviser you will be responsible for analysis, interpretation, and consultation on complex legal, regulatory, and compliance issues. You will also lead efforts to provide analysis and guidance on laws, regulations, and complex compliance issues!
In this role you will have the opportunity to:
Participate in an area of business targeted for growth
Evaluate compliance and business situations, and provide strategic guidance to internal and external business partners on a variety of complex compliance issues.
Craft creative solutions for customer needs
Lead and participate on highly visible projects critical to business unit and corporate growth initiatives.
Make strategic and operational recommendations to business partners and management.
Engage with various regulators, risk management personnel, and business partners on various change management, response, and audit needs
Provide consultation, implementation and evaluation of policies, procedures, and controls
Contribute to organizational learning by leading, mentoring, and coaching less experienced analysts.
Develop, grow and manage relationships with peer organizations inside and outside of Principal, industry groups, RIA regulators, retirement plan industry regulators & retirement plan professionals.
This position is a phenomenal way to advance your career! As a growing company with over 16,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.
Bachelor's degree and 6+ years of related experience
Series 7, 24, and 65 or 66 or the ability to be an immediate Investment Advisor Rep (IAR) are required
Previous experience with SEC RIA regulations and/or state investment advisor regulations in an operations or compliance capacity specific to an RIA delivering its services to individuals and small business customers.
Legal and technical knowledge of ERISA, retirement plan and contract provisions, company products and services a plus
Advanced analytical and problem solving with a high level of creativity and resourcefulness
Proven track record to build and manage relationships
Excellent written and verbal communication skills and the ability to advise business partners, prioritize multiple tasks and strong attention to detail.
Strong mentoring and leadership skills
At this time, we're not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role. (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)
Investment Code of Ethics
For Principal Securities 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.
While our expertise spans the globe, we're bound by one common purpose: to cultivate a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees – individually and all of us together. Explore our core values, benefits and why we’re an exceptional place to grow your career.
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.
Requisition ID: 2021-29902
Enterprise Segment: USIS
External Company Name: Principal Financial Group
Street: 711 High Street
FLSA Status: Exempt