Senior Compliance Analyst - SEC -- Remote

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

LinkedIn Hashtag:

We look forward to welcoming talented professionals to our team who share our commitment to excellence and integrity.

Employment Type: Full-Time

Salary : $63,750 - $121,200