Associate Director, Compliance

Principal Financial Group • Des Moines, IA

10d • Hybrid

About The Position

We're looking for an Associate Director, Compliance, to join the Principal Asset Management Compliance team. In this role, you'll drive strategic compliance programs across the enterprise or within a business unit. Responsibilities include setting program direction, conducting complex risk assessments, overseeing compliance monitoring, conducting compliance testing, assisting with regulatory examinations, and advising senior leaders on regulatory developments. This individual contributes to policy and training strategies, leads process redesign, and collaborates across business areas. They are a key liaison with regulators and industry groups, influencing best practices. While not a formal people leader, this role impacts outcomes through subject matter expertise, strategic insight, and cross-functional engagement.

Requirements

• 8+ years of relevant financial services experience demonstrated through one or a combination of the following: work experience, training, military experience or education
• 2+ years previous compliance, risk management, legal or regulatory experience
• Series 3 required
• Previous compliance experience within financial services industry required
• Familiarity with financial service products, markets, laws and regulations (SEC/FINRA/state/federal, AML, KYC, GDPR)
• Proficiency working with Microsoft Office suite
• Strong written and verbal communication skills
• Excellent organizational and attention to detail skills
• Advanced analytical and problem-solving skills
• Strong consulting and relationship building skills
• Ability to work independently and in team environment
• Must be comfortable providing consultation to various organizational levels
• Must display high level of professionalism and ability to explain complex information
• Strong business focus and client orientation
• Ability to manage expectations and handle multiple projects
• This position may require successful completion of a criminal background check.

Nice To Haves

• Series 30 is preferred

Responsibilities

• Systematically collect, interpret, and utilize data to ensure compliance. Analyze data to identify trends, patterns, and anomalies that could impact compliance. Use data insights to assess regulatory requirements, identify risks, and recommend improvements. Create detailed reports and visualizations to communicate findings. Support the development and execution of data strategies to enhance compliance insights and decision-making.
• Investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance. Monitor and evaluate legal and regulatory changes, assessing their potential impact on business operations and compliance programs. Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment. Communicate research findings and compliance requirements clearly to stakeholders across business units. Contributes to research prioritization and strategy, helping guide focus areas based on risk, regulatory trends, and business needs. Support the development and execution of regulatory change management processes, ensuring timely and effective implementation.
• Conduct risk assessments to identify potential compliance issues. Facilitate reporting of compliance risks across business units and geographies. Evaluate scenarios to determine the best course of action and offer strategic advice. Lead implementation of oversight programs to monitor and mitigate compliance risks. Review and approve deliverables using a risk-based approach to decision-making to support business goals while ensuring compliance with regulatory requirements and company policies.
• Lead the development and execution of external communication strategies related to compliance matters, ensuring alignment with enterprise-wide messaging and brand standards. Serve as a key liaison with regulatory bodies, industry groups, and external stakeholders to advocate for the organization’s position on emerging regulatory issues. Collaborate with senior leadership to shape and deliver consistent, enterprise-level compliance messaging across business units and external platforms. Establish and oversee the communication and reporting strategy for compliance initiatives, ensuring timely, transparent, and effective dissemination of information to internal and external audiences.
• Evaluate current compliance processes to identify inefficiencies and areas for improvement. Design and implement enterprise-wide or business unit compliance programs, policies, and controls that ensure regulatory adherence and support strategic business objectives. Lead and manage change initiatives to enhance compliance processes. Regularly monitor and review compliance activities for effectiveness. Collaborate with stakeholders to help ensure process improvements align with organizational goals.

Benefits

• Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
• Pension Eligible: No

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed