Compliance Director
4 days ago
We are seeking a highly skilled Compliance Director to join our team at Principal Financial Group. As a Compliance Director, you will play a critical role in ensuring that our company operates in compliance with all relevant laws, regulations, and industry standards.
Key Responsibilities- Develop and implement compliance policies and procedures to mitigate risks and prevent violations of applicable rules and regulations.
- Conduct regular reviews of proposed funds, draft due diligence reports, and ensure compliance with regulatory requirements.
- Collaborate with cross-functional teams to develop and implement compliance programs, including training and awareness initiatives.
- Stay up-to-date with changes in regulatory requirements and industry standards, and ensure that our company's compliance programs are aligned with these changes.
- Provide guidance and support to employees on compliance-related matters, and ensure that all employees understand their compliance responsibilities.
- Bachelor's degree or equivalent experience required.
- 10+ years of experience in compliance, risk management, or a related field, including experience with private placements, fund structures, and regulatory requirements.
- FINRA licensing is required, including the SIE or equivalent, series 7 and series 24.
- Excellent written and verbal communication skills, consulting skills, and the 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 $120,000 - $180,000 per year, depending on experience and qualifications. We also offer a comprehensive benefits package, including Flexible Time Off (FTO) and a pension plan.
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Director of Compliance
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Director of Grounds
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