Compliance Director

14 hours ago


Des Moines, Iowa, United States Principal Financial Group Full time
Job Title: Compliance Director

At Principal Financial Group, we're seeking a highly skilled Compliance Director to join our team. As a key member of our compliance team, you'll play a critical role in ensuring our organization's compliance with regulatory requirements and industry standards.

Key Responsibilities:
  • Develop and implement compliance policies and procedures to mitigate risks and prevent violations of applicable rules and regulations.
  • Conduct thorough reviews of proposed funds, draft due diligence reports, and coordinate with outside counsel to ensure compliance with regulatory requirements.
  • Collaborate with cross-functional teams to develop and implement compliance training programs and ensure effective communication of compliance policies and procedures.
  • Stay up-to-date with changing regulatory requirements and industry developments to ensure our organization remains compliant.
Requirements:
  • Bachelor's degree or equivalent experience required.
  • 10+ years of related work experience, including experience with private placements, various US and offshore fund structures, real estate, high yield debt, and/or alternative lending.
  • FINRA licensing required, including the SIE or equivalent, series 7 and series 24.
  • Excellent written and verbal communication skills, consulting skills, and ability to build strong relationships.
  • Self-motivated with strong organizational, problem-solving, and analytical skills, with high attention to detail.
Preferred Skills and Experience:
  • Previous compliance experience within the asset management industry or real estate.
  • Knowledge of financial service products and markets, securities laws and regulations (SEC/FINRA/state/federal), and back office.
  • Experience working with private placements, ERISA, or institutional clients and managed accounts.

We offer a competitive salary range of $153,000 - $207,000 per year, flexible time off, and a comprehensive benefits package. If you're a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply.



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