Principal Compliance Analyst (Remote Opportunity) in Des Moines, Iowa
Do you have regulatory experience with a Broker Dealer or Investment Advisory? This role may be for you!
Principal is searching for top talent to join our team as a Compliance Analyst on the Product and Distribution Compliance team. In this role, you’ll identify, interpret, apply, and communicate complex legislative and regulatory obligations that affect the business unit and our customers.
Day to day responsibilities will include:
Assisting leaders and team members of your assigned business area or process by interpreting and applying a variety of securities regulations and compliance policies and standards.
Providing strategic guidance to internal and external business partners on a variety of complex compliance issues.
Assisting in the development and implementation of risk monitoring and control testing processes and following the resolution through implementation.
Combining & gathering data from a variety of sources to answer business questions and respond to various regulatory requests, including branch office examinations.
Promoting adherence to compliance best practices through training and behavioral examples.
This position requires a good understanding of business operations and specific processes and of the related legislative, regulatory, and in-house company policy requirements associated with them.
We’re looking for someone with:
Bachelor's degree or equivalent of 8 years of working experience.
2+ years of relevant professional experience. (Broad understanding of broker-dealer or RIA regulations strongly preferred.)
Previous compliance or operational experience in a financial services organization is preferred.
Proven written and verbal communications, decision making, analytical, and organizational skills.
Ability to work both independently and within a collaborative team environment.
Advanced PC skills including word processing, spreadsheets, database management, and web applications preferred.
FINRA licensing may be required.
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 Global Investors 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 foster 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: 2020-28958
Enterprise Segment: USIS
Business Area: Principal Securities
External Company Name: Principal Financial Group
Street: 711 High Street
FLSA Status: Exempt