Senior Compliance Analyst - SEC

What You'll Do

As a Senior Compliance Analyst you will be providing compliance support for Principal Advised Services’, an SEC-registered investment adviser, core regulated activities. This role will primarily be focused on performing the day-to-day tasks necessary for the administration of the Principal Advised Services’ compliance program.  The role will also provide day-to-day support to Principal Connection, a division of Principal Bank^®. Together, you will provide compliance support within Retirement Income Solutions.

 

Here are a few examples of the kinds of things you'll do when you join our Compliance team:

• Assist with oversight of investment advisor representatives.
• Perform various compliance tests at the direction of Principal Advised Services’ Chief Compliance Officer and assist with 206(4)-7 annual report.
• Perform compliance support functions for Principal Advised Services and Principal Connection.
• Continuously review and evaluate processes to identify and mitigate key compliance and risk items.
• Provide support for Compliance team members, including ownership of duties when key individuals are out of the office.
• Perform ad hoc research at the direction of the Chief Compliance Officer or senior Compliance team members.
• Assist with regulatory change management.
• Assist in the remediation of discovered compliance gaps.

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 of 8 years’ experience.
• 4 years of compliance experience, which includes 2 years of SEC Compliance and/or ERISA Compliance experience.  
• Experience with PTE 2020-02 and/or DOL prohibited transactions.
• Excellent oral and written communication skills and organizational skills.

Skills that will help you stand out:

• SharePoint, Box and/or Salesforce experience.
• Previous compliance in a financial services organization.
• Understanding of complex regulatory framework in which we operate and ability to read, understand and apply regulations to our business model.
• Ability to work independently, and within a team environment.

 

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

$63750 - $121200 / 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 don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible

Yes
Additional Information

Work Environments

This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements. You’ll work with your leader to figure out which option may align best based on several factors.

 

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, you’ll 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, we’re 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.
Original Posting Date

4/15/2024
Most Recently Posted Date

4/15/2024

LinkedIn Remote Hashtag

#LI-Remote

LinkedIn Hashtag

#LI-LT1

Salary : $63,750 - $121,200