Job Description:
About Us:
We are a leading financial services firm committed to empowering individuals to achieve financial security. Our mission-driven approach has guided us for over 140 years, and we continue to innovate at the intersection of finance and technology to serve our customers better.
What You'll Do:
As a Senior Compliance Analyst, you'll play a vital role in ensuring regulatory adherence and risk mitigation within our organization. Your responsibilities will include:
- Providing comprehensive compliance support for Principal Advised Services' core regulated activities, focusing on Retirement Income Solutions.
- Assisting in the oversight of investment advisor representatives and performing various compliance tests under the guidance of our Chief Compliance Officer.
- Conducting day-to-day compliance support functions for Principal Advised Services and Principal Connection, a division of Principal Bank®.
- Continuously evaluating processes to identify and address compliance and risk factors proactively.
- Supporting team members and assuming ownership of duties in their absence.
- Conducting ad hoc research and assisting with regulatory change management and remediation efforts.
Who You Are:
We're seeking candidates who possess:
- A Bachelor's degree or equivalent experience.
- 4+ years of compliance experience, including at least 2 years in SEC Compliance and/or ERISA Compliance.
- Familiarity with PTE 2020-02 and/or DOL prohibited transactions.
- Strong communication and organizational skills.
Skills That Will Help You Stand Out:
- Experience with SharePoint, Box, and/or Salesforce.
- Previous compliance experience in the financial services industry.
- An understanding of the complex regulatory landscape and the ability to apply regulations effectively.
Salary Range Information:
- $63,750 - $121,200 per year
- Non-sales positions may participate in a bonus program, while sales positions are eligible for sales incentives and potential bonuses based on performance.
Time Off Program:
- Flexible Time Off (FTO) is available for salaried employees, providing paid time off for vacation, personal, or short-term illness.
Additional Information:
Work Environments:
- This role offers in-office, hybrid, and remote work arrangements, tailored to individual preferences and business needs.
Work Authorization/Sponsorship:
- We are unable to consider applicants requiring immigration sponsorship for work authorization in the United States.
Experience Principal:
- At Principal, we value diversity and inclusion and offer comprehensive benefits to support our employees' well-being.
Principal is an Equal Opportunity Employer:
- We welcome applicants from all backgrounds without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
Posting Window:
- Applications will be accepted for 3 days following the Original Posting Date, with additional posting periods at the discretion of the company.
LinkedIn Remote Hashtag:
- #LI-Remote
LinkedIn Hashtag:
- #LI-LT1
We look forward to welcoming talented professionals to our team who share our commitment to excellence and integrity.
Employment Type: Full-Time
Salary: $ 60,000.00 120,000.00 Per Year
