Compliance Director

2 days ago


Des Moines, Iowa, United States Principal Financial Group Full time
Job Title: Compliance Director

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 reviews of proposed funds, draft due diligence reports, and coordinate with outside counsel to ensure compliance with regulatory requirements.
  • Develop and maintain compliance training programs for employees to ensure they understand their roles and responsibilities in maintaining compliance.
  • Collaborate with cross-functional teams to ensure compliance with regulatory requirements and industry standards.
  • Stay up-to-date with changes in regulatory requirements and industry standards, and implement changes as necessary.
Requirements:
  • Bachelor's degree or equivalent experience required.
  • 10+ years of experience in compliance, risk management, or a related field.
  • FINRA licensing required, including the SIE or equivalent, series 7 and series 24.
  • Excellent written and verbal communication skills, with the ability to build strong relationships with employees and external stakeholders.
  • Self-motivated with strong organizational, problem-solving, and analytical skills, with high attention to detail.
Preferred Skills and Experience:
  • 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).
  • Experience working with private placements, ERISA, or institutional clients and managed accounts.

At Principal Financial Group, we offer a competitive salary range of $153,000 - $207,000 per year, as well as a comprehensive benefits package, including Flexible Time Off (FTO) and pension eligibility. If you're a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.


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