Compliance Director

5 days ago

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

We are seeking an experienced Director of Compliance to oversee aspects of compliance for our Trust Company and Investment Solutions-focused businesses, including ERISA regulations, collective investment trusts, OCIO services, liability driven investments, derivatives, and other complex financial products and services.

Key Responsibilities
  • Implement a comprehensive Trust Company compliance program, perform compliance-risk assessments, conduct testing, identify and correct issues, and provide training as needed.
  • Develop policies and procedures for OCIO specific fiduciary processes (e.g., recommendations, affiliate product needs, conflicts of interest, etc.).
  • 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 (e.g., investor concentrations, QPAM, issuer limitations, counterparty restrictions).
  • Provide consulting for Product and Sales teams on complex trust company scenarios and unique product needs (e.g., in-kind transfer, ADL considerations, 3(21) and 3(38) eligibility, etc.) to help ensure products are aligned 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 focus on retirement and investment products.
  • Extensive knowledge of ERISA and DOL regulations and 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, as well as other relevant documentation (e.g., Form 5500, Investment Policy Statements, Fee Disclosures, Audit Reports, etc.).
  • Excellent analytical, problem-solving, and communication skills as well as experience with compliance testing, Board reporting, and connecting with regulators.
  • This position may be subject to SEC restrictions on personal political contributions.
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.
Benefits

Principal offers a competitive salary range of $207,000 per year, flexible time off, and a comprehensive benefits package.

About Principal

Principal is a purpose-led firm that builds financial tools to help our customers live better lives. We take pride in being a trusted leader in the financial services industry for over 140 years.

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