Compliance Analyst - Ad Review

Principal Financial Group
Des Moines, IA Remote Full Time
POSTED ON 9/14/2022 CLOSED ON 12/12/2022

Job Posting for Compliance Analyst - Ad Review at Principal Financial Group

Responsibilities

As a Compliance Analyst – Ad Review in Principal Funds Distributor, you’ll be responsible for reviewing advertising and consulting with business partners on new initiatives and ongoing efforts. The successful candidate will have general compliance knowledge, strong analytical skills, be detail oriented, highly organized, can prioritize and allocate projects and workflow as needed, and seek out and drive efficiencies in existing processes.

 

Here are few examples of the kinds of things you’ll do:

 

  • Conduct review of retail and institutional advertising for ‘40 Act products to ensure compliance with applicable industry rules (i.e. State, FINRA, & SEC) and firm policies and procedures
  • Consult with internal business partners and recommend actions to ensure compliance with applicable laws and standards
  • Assist with compliance policies and procedures, training initiatives, internal reviews, and projects as assigned.
  • Additional responsibilities may include reviewing RFP/DDQ content, 529 materials, social media posts, and websites.

This position is also a great way to advance your career. As a growing company with over 18,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.

Qualifications

We're looking for someone with:

 

  • Bachelor's degree or equivalent required, plus 2 years experience required.
  • Previous compliance experience within the asset management industry, mutual fund distributor experience preferred.
  • Thorough knowledge of FINRA, SEC, MSRB, and SIPC rules governing advertising preferred.
  • FINRA licensing is required including the SIE or equivalent, series 7 and series 24. If not already licensed, must obtain all licenses within 6 months.
  • Must have strong written and communication, organizational, attention to detail, analytical, problem solving, and relationship building skills.
  • Demonstrated ability to efficiently and effectively research, compile, and analyze information, work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks required.
  • Proficiency working with the Microsoft Office suite of applications.
  • Experience with Red Oak, SharePoint Online, and related financial services technology, a plus.

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

$58650 - $114000 / year

Additional Information

Work Authorization/Sponsorship

At this time, we're not considering candidates 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 Global Investors 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

While our expertise spans the globe, we're bound by one common purpose: to foster a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees – individually and all of us together. Explore our core values, benefits and why we’re an exceptional place to grow your career.

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.

LinkedIn Remote Hashtag

#LI-Remote
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