Compliance Director

4 weeks ago


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

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 supporting our Private Funds compliance program, ensuring that we maintain the highest standards of compliance and risk management.

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
  • Collaborate with internal stakeholders to ensure effective compliance and risk management
  • Stay up-to-date with changing regulatory requirements and industry developments
Requirements
  • Bachelor's degree or equivalent experience required
  • 10+ years of experience in compliance, risk management, or a related field
  • FINRA licensing and experience with private placements, fund structures, and securities laws
  • Excellent written and verbal communication skills
  • Strong analytical and problem-solving skills
What We Offer
  • Competitive salary and bonus structure
  • Opportunities for professional growth and development
  • Collaborative and dynamic work environment
  • Comprehensive benefits package

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