Regulated Document Specialist

Principal Financial Group • Des Moines, IA

1d • Hybrid

About The Position

This role operates at the intersection of financial services and technology, focusing on building financial tools to help customers live better lives. The company is a purpose-led firm motivated by its mission to make financial security accessible to all. The Regulated Document Specialist will coordinate the distribution, webhosting, and archiving of regulated documents to retail and retirement shareholders according to federal laws and internal controls. This includes prospectuses, supplements, SAIs, semi-annual reports, annual reports, information statements, proxies, and more. The specialist will review and track production quality and schedules, communicate with internal and external production staff and business partners to ensure requirements and deadlines are met, and identify opportunities for workflow improvements. This position requires successful completion of a credit history check.

Requirements

• Requires high school diploma (some college course work preferred) and 4+ years related experience
• Good problem solving, time management, organizational and oral and written communication skills required
• Must be detail oriented, able to maintain a high degree of accuracy, meet established deadlines, able to handle multiple tasks and prioritize effectively
• Must be a self-starter, have good customer services skills and be able to effectively communicate with internal and external contacts
• Ability to learn systems and applications used within the firm required
• Knowledge of, or the ability to develop, the funds business and regulated document distribution requirements associated with it, including state and federal securities laws
• Successful completion of a credit history check

Nice To Haves

• Being detail oriented

Responsibilities

• Coordinate the distribution, webhosting, and archiving of regulated documents to retail and retirement shareholders according to federal laws and internal controls.
• Review and track production quality and schedules.
• Communicate with internal and external production staff and business partners to ensure requirements and deadlines are met.
• Identify opportunities and suggest improvements for workflows, procedures, and processes.
• Manage the production and distribution of regulated documents in accordance with federal rules and approved internal controls, standards, and process guidelines.
• Develop project plans and checklists, determine production schedules, establish timing with the selected vendor, prioritize tasks, and review quality and progress during production.
• Share documents and information with internal groups using the website, Virtual Supply, and shared drives, and with external parties such as sub-advisors.
• Keep printed materials for ongoing and new registered products according to Records Retention policies.
• Work with internal and external production staff and business partners to resolve timing and prioritization discrepancies within set limits.
• Ensure requirements are fulfilled and distribution schedules are maintained.
• Act as the first contact to handle issues, respond to questions, or listen to complaints.
• Share relevant points during daily team or manager meetings to seek advice or escalate unusual matters to senior staff or managers as needed.
• Review and analyze documents, processes, and workflow steps to find chances and solutions for improving procedures and workflows.
• Emphasize cost-saving operational efficiencies.
• Note improvements in the checklist.
• Present suggestions to partners.
• If agreed upon, help with documenting and launching their roll-out.
• Perform other job-related duties or special projects as required.

Benefits

• Bonus program (for non-sales positions)
• Personal Time Off (PTO)
• Pension Eligible

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: High school or GED