Senior Privacy Specialist- Broker Dealer

What You'll Do

We’re looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you’ll serve as information privacy consultant for our Benefits & Protection Principal Securities business segments, provide program management and business representation, oversee ongoing business activities related to the development, implementation, maintenance of, and adherence to organizational policies and procedures, covering the privacy of, and access to employee and customer information in compliance with federal and state laws, and the organization's information privacy practices.

• Act as the point-of-contact and subject matter expert (SME) for business area privacy issues, questions, and processes. Serve as the first line of defense (FLOD) in working groups and business conversations. Understand and promote our internal privacy policies, standards, and resources. Ensure compliance with company privacy practices, privacy and security laws and regulations. Maintain current knowledge of applicable federal and state privacy and security laws, regulations, and accreditation standards, and monitor developments in information privacy technologies to ensure business adaptation and compliance.
• Lead the business in “privacy conversations,” to promote privacy discussion and advise the business when Privacy Impact Assessment/Data Protection Impact Assessments (PIA/DPIA) are necessary. Oversee Principal Securities privacy programs, compliance, and accountabilit, including but not limited to, training and awareness, audit requests, compliance manual updates, policies and procedures, monthly and quarterly reporting requirements and privacy meetings, internal and external field communication.
• Maintain the business’ documentation of processes, procedures, and controls demonstrating compliance to privacy regulatory requirements. Participate in regulatory compliance testing. Manage the planning, administration, testing, and training of privacy projects/processes, including Privacy rights requests (Data Subject Access Rights), privacy notice distribution, consent and preference management, and record of processing (data mapping and inventories).
• Monitor and ensure consistent and thorough incident reporting. Manage vendor supplier requests for privacy. Educate the business on reporting privacy incidents. Continuously monitor root cause trends and other incident data to discover opportunities for proactive risk mitigation. Oversee business’s privacy incident management process: review, research, documentation, escalation, and remediation of each incident.
• Support and advocate for the privacy strategy and mission especially the ethical use of personal data, and the importance of our privacy principles in our everyday business practices. Share privacy information and updates with key contacts within the business area. Other job duties as assigned.
• Perform other job-related duties and special projects as assigned.

 

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
• 8 years of prior work-related experience 
• Excellent knowledge of state and federal security regulations
• Licensing / Certification requirements:
• Active FINRA Series 7 and 66 required 
• FINRA Series 24 obtained within 12 months of start date.
• Certified Information Privacy Professional (CIPP/U or CIPM) required within 12 months of start date.
• Excellent verbal/written communication skills and group presentation skills.
• Organizational and analytical skills and ability to handle multiple tasks concurrently is required.
• Strong team player skills and work well in a team-oriented 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)

$100800 - $182400 / 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 (only if residing more than 30 miles from Des Moines, IA). 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

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

1/15/2025
Most Recently Posted Date

1/15/2025

LinkedIn Remote Hashtag

#LI-Remote

LinkedIn Hashtag

#LI-LT1

Salary : $100,800 - $182,400