Compliance Director
14 hours ago
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.
- 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.
- 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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