Compliance Advisor

Principal Financial Group•Des Moines, IA

7h•Remote

About The Position

Principal is hiring for a Compliance Advisor (Broker-Dealer) to provide support to our Broker-Dealer operations, business partners 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 trading operations, surveillance, and supervision as well as for other business areas. This position will also provide advice and support on select business development initiatives and projects.

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.