Senior Compliance Analyst - SEC
Principal
- Des Moines, IA
- $63,750-121,200 per year
- Permanent
- Full-time
- 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.
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.
- 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 (Non-Exempt expressed as hourly; Exempt expressed as yearly)$63750 - $121200 / year
Time Off ProgramFlexible 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 EligibleYes
Additional InformationWork EnvironmentsThis 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/SponsorshipAt 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.andInvestment Code of EthicsFor 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 PrincipalAt 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 to learn more about our purpose, values and benefits.Principal is an Equal Opportunity EmployerAll 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 WindowWe 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 Date4/15/2024
Most Recently Posted Date4/15/2024LinkedIn Remote Hashtag#LI-RemoteLinkedIn Hashtag#LI-LT1