What You'll Do:

We're looking for an expert Director of Compliance to lead our asset management core compliance team. The ideal candidate will have extensive knowledge of regulatory requirements for SEC-registered investment advisers and have deep experience implementing compliance and testing programs, as well as familiarity with private funds, private assets, wrap accounts, and real estate!

Key Responsibilities:

• Lead and mentor a remote team of talented compliance professionals covering core aspects of a registered investment adviser-focused compliance program.
• Provide mentorship on regulatory filings (US and international), such as Form ADV, Form PF, Section 16, Schedule 13G/D, 13H, etc.
• Ensure connectivity between compliance-risk assessment, policies and procedures, testing, controls, issue management, reporting, and training.
• Collaborate on the development of policies and procedures, risk matrix, balanced investing compliance, testing program implementation, and 206(4)-7 report.
• Liaise with various business areas (e.g., accounting, finance, investment teams, RFP, client services, privacy, risk, internal audit, and enterprise colleagues) and provide guidance on compliance policies and consulting on various US and international regulations affecting the business.
• Assist in Enterprise-driven initiatives and projects.

Who You Are:

• Bachelor degree or equivalent experience, and 7 years' remeaningful work experiencen asset management compliance, legal or regulatory field required.
• Strong understanding of compliance program framework, policy and procedure development and implementation, compliance-risk assessment, testing methodologies, and issue management.
• In-depth knowledge of SEC, FINRA, and other relevant regulatory requirements.
• Strong analytical skills and ability to highlight potential challenges and offer solutions.
• Excellent communication and interpersonal skills, capable of interacting optimally with colleagues, team members, senior management, and regulators.
• Ability to handle ambitious priorities optimally within a constantly evolving environment.
• Prior leadership of a team

Skills That Will Help You Stand Out

• IACCP, CCEP, or other relevant certifications, a plus
• Proficiency in Power BI, SharePoint, or other data analysis skills/tools, a plus

Salary Range Information:
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Salary Range:
$153000 - $207000 / year
Time Off Program:
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. Employees dont accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible:
No
Additional Information:

Work Environments

This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). Youll work with your leader to figure out which option may align best based on several factors.

Who We Are

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!

Work Authorization/Sponsorship

At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Code of Ethics

For Principal Asset Management positions, youll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, were imagining a more purpose-led future for financial services and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn 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.

Posting Window:
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Date First Posted (TTF):
9/5/2024
Latest Post Date: Careers - US:
9/5/2024

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