What You'll Do

Principal is seeking a Compliance Analyst to join the Risk Assessment, Testing, and Monitoring Team within the compliance organization supporting Principal Securities, Inc. and Principal Funds Distributor, Inc. This role is responsible for conducting risk assessment and compliance testing activities for the broker dealers and registered investment adviser, collaborating across the three lines of defense, and identifying solutions to increase efficiency and effectiveness of compliance processes.

• Assist with periodic and ongoing second-line testing of policies, procedures, processes, and controls in accordance with FINRA, SEC, and applicable federal securities laws
• Conduct annual risk assessment activities to support development of the firm’s risk profile
• Draft annual compliance reports pursuant to FINRA Rule 3120/3130 and Advisers Act Rule 206(4)-7
• Identify, interpret, and provide guidance on new and existing laws, regulations, and other directives applicable to the business unit and its customers
• Consult with Chief Compliance Officer and Senior Management regarding identified issues and collaborate with business units on remediation efforts
• Apply risk-based methodologies to investigate, assess, and prioritize operational and compliance topics
• Evaluate, document, and report key risk trends or other compliance monitoring results
• Proactively identify and implement improvements to workflows, templates or automation opportunities to enhance efficiency
• Perform other job-related duties or special projects as required

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!

Who You Are

• Bachelor's degree or equivalent experience
• 2+ years of experience within the financial services industry
• Experience in compliance testing, auditing, or risk assessment
• Strong written and verbal communication, analytical thinking, decision-making, and organizational skills
• Demonstrated ability to build and manage relationships across various disciplines
• Ability to work autonomously as well as in a collaborative group setting

Skills That Will Help You Stand Out

• FINRA licenses, including Series 6, Series 7, Series 24, and/or Series 26
• Prior compliance, legal or operational experience within the broker-dealer or registered investment adviser environment
• Demonstrated innovation, adaptability, and resourcefulness
  
  

Fingerprint – You’ll be required to become a non-registered fingerprint person of Principal Securities, Inc. and Principal Funds Distributor, Inc.

Salary Range Information

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)

The following locations are examples of market-specific salary ranges across different geographies. Please note, we are open to hiring Nation-wide for this role, these are simply an example of salaries in these geographic areas.

Time Off Program

Pension Eligible

Work Environments

This role offers in-office, hybrid, and remote work options. Hybrid means at least three office days per week. Remote work is available only if you live more than 30 miles from Des Moines, IA, Charlotte, NC, or Raleigh, NC. You’ll collaborate with your leader to decide which option fits best based on various factors.

Work Authorization/Sponsorship

At this time, we are not considering applicants who require any type of immigration sponsorship now or in the future. This includes work authorization such as F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, and others. For more information about work authorization, please use the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Ethical Guidelines

In Principal Asset Management positions, following an Investment Code of Ethics is required. This includes guidelines on personal and business conduct and personal trading for you and your household. These rules may extend to other jobs within the organization.

Experience Principal

At Principal, we emphasize connecting on both a personal and professional level. Together, we’re imagining a future in financial services that is more purpose-focused – and that starts with you. Our success stems from the unique experiences, backgrounds, and talents of our employees. And we back our employees in the same way we back our customers: with comprehensive, competitive benefit plans created to protect their physical, financial, and social well-being. Explore our careers site to find out more about our purpose, values, and benefits.

Principal is an Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

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