Compliance Advisor

Principal Financial Group • Des Moines, IA

20h • Remote

About The Position

Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance program and supports the risk owners. The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on broker-dealer compliance. This position will also provide advice and support on select business development initiatives and projects.
Positioned where financial services meet technology, Principal creates financial tools that assist our customers in living better lives. We are proud to be a purpose-oriented organization, guided by our mission to ensure financial security is within everyone's reach. Our mission, integrity, and customer dedication have made us a reliable leader for more than 140 years!

Requirements

• Bachelor’s degree, or equivalent; 6+ years’ experience resulting in expertise in broker-dealer trading operations, compliance and the related governing laws and regulations.
• FINRA Series 7, and 24 licenses are highly desired. If not fully licensed must be able to obtain within 6 months of start.
• Excellent written and oral communication skills.
• Advanced analytical, problem solving, and organizational abilities.
• High level of creativity and resourcefulness.
• Demonstrated application of robust data analysis and reporting capabilities, and risk management frameworks and concepts.
• Experience in assessing and implementing process improvements.
• Mentoring and coaching experience.
• Ability to interact with regulatory bodies.

Responsibilities

• Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
• Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
• Participate on highly visible special projects critical to business unit and corporate growth initiatives and assist in crafting firm policy, standard operating procedures (SOP), and controls
• Leverage data to provide in-depth analysis and reporting to help guide decision-making processes.
• Assist in preparing for and responding to regulatory exams and other inquiries.
• Contribute to organizational learning by mentoring and coaching less experienced compliance professionals.
• Partner with the business to help design creative solutions for complex customer needs and business processes.
• Build and sustain strong relationships with colleagues throughout the enterprise.
• Perform other job-related duties or special projects as needed.

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.
• Pension Eligible

What This Job Offers

• Job Type: Full-time
• Career Level: Senior