Compliance Director
4 weeks ago
As a key member of the Principal Global Investors team, the Compliance Director will play a crucial role in supporting the Private Funds compliance program. This position will be responsible for ensuring that all compliance responsibilities are met, including broker-dealer and investment adviser duties.
Key Responsibilities:
- Review and analyze proposed funds to ensure compliance with relevant regulations and laws.
- Develop and implement compliance policies and procedures to mitigate risks and prevent violations.
- Coordinate with outside counsel to ensure compliance with applicable rules and regulations.
- Develop and maintain desk procedures to ensure efficient and effective compliance.
- Conduct forensic testing to identify and address potential compliance issues.
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.
- Experience with SharePoint Online, Microsoft Teams, and Red Oak a plus.
- Previous compliance experience within the asset management industry or real estate preferred.
- Knowledge of financial service products and markets, securities laws and regulations (SEC/FINRA/state/federal), and back office preferred.
What We Offer:
- Comprehensive, competitive benefit offerings to protect physical, financial, and social well-being.
- Opportunity to work with a purpose-led firm motivated by a mission to make financial security accessible to all.
Principal Financial Group is an Equal Opportunity Employer.
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