Senior Compliance Analyst

Principal Financial Group • Des Moines, IA

4d • Hybrid

About The Position

We’re looking for a Senior Compliance Analyst to join our Enterprise Advertising Compliance team. In this role, you’ll be responsible for reviewing advertising/sales materials and consulting with business partners on new initiatives and ongoing efforts. The successful candidate will have general compliance knowledge, strong analytical skills, detail-oriented approach, excellent organizational skills, ability to prioritize and allocate projects and workflow as needed, and the ability to seek out and drive efficiencies in existing processes. Some responsibilities include conducting in-depth regulatory research, analyzing risk exposures, and advising compliance requirements. The role also leads and supports compliance monitoring, testing, and reporting activities, drafts and reviews of policies and reports, and contributes to training and awareness efforts. You'll also collaborate with business units on new offerings ensures regulatory alignment, working closely with other team members and leaders while operating with moderate autonomy. The role engages with a broad range of internal stakeholders to advance compliance initiatives.

Here are few examples of the kinds of things you’ll do:
Conduct review of retail and institutional marketing materials related to Principal’s products and services to ensure compliance with applicable industry rules (i.e., Insurance, FINRA, & SEC) and firm policies and procedures. The role can cover a range of product types including investment, retirement, insurance, and specialty benefit product lines.
Consult, build, and maintain strong relationships with internal business partners and recommend actions to ensure compliance with applicable laws and standards.
Assist with compliance policies and procedures, training initiatives, internal reviews, and projects as assigned.
Support efforts to provide comprehensive analysis and guidance on advertising laws, regs, and complex compliance issues while reviewing and approving marketing material.
You'll have the opportunity to grow in:
Product knowledge - Gain in-depth knowledge of innovative and complex products across the enterprise to perform and support effective advertising compliance processes.
Relationship building - Build and maintain strong relationships with the business areas that we support to ensure that business needs are met in a compliant way.
Process Improvements – Help evaluate current compliance processes to identify inefficiencies and areas for improvement.
Risk Management - 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.
Regulatory Research - Assist the team in efforts to investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance, particularly in the ad review space. Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment.
Data Analysis – Gather and organize data from audits, incident reports, filings, transaction records, and regulatory documents. Analyze large datasets to identify compliance trends, risks, and anomalies; apply basic statistics and create visual summaries. Use tools like Excel (formulas, pivot tables), SQL, Tableau, or Power BI to clean, structure, and present data. Ensure data accuracy and completeness; correct errors, validate entries, and summarize findings for reporting and decision-making.
Risk Management – Monitor business activities and conduct compliance testing and examinations to identify compliance risks and exposures. Review processes, training materials, filings, and records for gaps or breaches of policy or regulation. Assist with documentation requests and analysis; support identification of corrective actions and escalation of issues. Apply risk management principles under supervision; evaluate root causes and assess regulatory impacts on risk profiles. 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.
Communications & Reporting – Write clear, concise compliance reports, filings, policies, training materials and testing documentation. Present findings and recommendations to various audiences; lead meetings and deliver training sessions. Maintain accurate records of correspondence and compliance activities; escalate issues as needed. Serve as a resource on compliance matters; communicate complex concepts clearly and build relationships across departments.
This position may require successful completion of a criminal background check.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Requirements

• 6+ years of relevant financial services experience demonstrated through one or a combination of the following: work experience, training, military experience or education
• FINRA Series 6 and 26, or 7 and 24 required (Series 24 is preferred)
• Proficiency working with Microsoft Office suite
• Strong written and verbal communication skills
• Excellent organizational and attention to detail skills
• 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
• Successful completion of a criminal background check

Nice To Haves

• Previous compliance and/or advertising review experience within financial services industry preferred
• Familiarity with financial service products, markets, laws and regulations is preferred (SEC/FINRA/state/federal, AML, KYC, GDPR)
• Knowledge of laws and regulations related to retirement plans, life insurance, annuities, investments, broker/dealer, and investment advisors

Responsibilities

• Conduct review of retail and institutional marketing materials related to Principal’s products and services to ensure compliance with applicable industry rules (i.e., Insurance, FINRA, & SEC) and firm policies and procedures.
• Consult, build, and maintain strong relationships with internal business partners and recommend actions to ensure compliance with applicable laws and standards.
• Assist with compliance policies and procedures, training initiatives, internal reviews, and projects as assigned.
• Support efforts to provide comprehensive analysis and guidance on advertising laws, regs, and complex compliance issues while reviewing and approving marketing material.
• Gain in-depth knowledge of innovative and complex products across the enterprise to perform and support effective advertising compliance processes.
• Build and maintain strong relationships with the business areas that we support to ensure that business needs are met in a compliant way.
• Help evaluate current compliance processes to identify inefficiencies and areas for improvement.
• 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.
• Assist the team in efforts to investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance, particularly in the ad review space.
• Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment.
• Gather and organize data from audits, incident reports, filings, transaction records, and regulatory documents.
• Analyze large datasets to identify compliance trends, risks, and anomalies; apply basic statistics and create visual summaries.
• Use tools like Excel (formulas, pivot tables), SQL, Tableau, or Power BI to clean, structure, and present data.
• Ensure data accuracy and completeness; correct errors, validate entries, and summarize findings for reporting and decision-making.
• Monitor business activities and conduct compliance testing and examinations to identify compliance risks and exposures.
• Review processes, training materials, filings, and records for gaps or breaches of policy or regulation.
• Assist with documentation requests and analysis; support identification of corrective actions and escalation of issues.
• Apply risk management principles under supervision; evaluate root causes and assess regulatory impacts on risk profiles.
• 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.
• Write clear, concise compliance reports, filings, policies, training materials and testing documentation.
• Present findings and recommendations to various audiences; lead meetings and deliver training sessions.
• Maintain accurate records of correspondence and compliance activities; escalate issues as needed.
• Serve as a resource on compliance matters; communicate complex concepts clearly and build relationships across departments.

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
• Education Level: No Education Listed