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Director of Compliance and Risk Management

2 months ago

Des Moines Iowa, United States Principal Financial Group Full time
Job Summary

We are seeking an experienced Director of Compliance and Risk Management to oversee aspects of compliance for our Trust Company and Investment Solutions-focused businesses. The ideal candidate will have a strong understanding of ERISA regulations, collective investment trusts, OCIO services, liability-driven investments, derivatives, and other complex financial products and services.

Key Responsibilities
  • Implement a comprehensive compliance program, perform risk assessments, conduct testing, identify and correct issues, and provide training as needed.
  • Develop policies and procedures for OCIO-specific fiduciary processes, including recommendations, affiliate product needs, conflicts of interest, and other relevant considerations.
  • Perform testing and oversee compliance with GIC issuance rules, derivative rules, counterparty exposure, concentration limits, and client requirements.
  • Monitor for ERISA compliance and disclosure requirements, including investor concentrations, QPAM, issuer limitations, and counterparty restrictions.
  • Provide consulting services for Product and Sales teams on complex trust company scenarios and unique product needs to ensure alignment with applicable laws and regulations.
  • Provide guidance on regulatory requirements and engage with Trust Company personnel, Investment Solutions team, OCIO colleagues, key stakeholders, business partners, regulators, and internal/external auditors.
Requirements
  • Bachelor's degree or equivalent experience, and 10+ years' of compliance experience in financial services/asset management, with a focus on retirement and investment products.
  • Extensive knowledge of ERISA and DOL regulations, as well as strong understanding of 3(38) and 3(21) fiduciary responsibilities and prohibited transactions.
  • Expertise in overseeing CITs, LDI, derivatives, and insurance products.
  • Experience with OCIO solutions and related compliance considerations.
  • Extensive experience with Trust Agreements, Participation Agreements, Investment Policy Statements, Service Provider Agreements, and other relevant documentation.
  • Excellent analytical, problem-solving, and communication skills, as well as experience with compliance testing, Board reporting, and connecting with regulators.
Preferred Qualifications
  • JD preferred
  • FINRA, CFA, CAMS, or other relevant certifications
  • A proven track record of building robust compliance programs for complex investment and retirement solutions
  • Ability to navigate the intricate regulatory landscape while enabling business growth and innovation
  • Strong relationship-building skills and the ability to influence at all levels of the organization