Compliance Analyst - Code of Ethics - Remote

Responsibilities:

• Monitoring adherence to the Global Code of Ethics and the review of related subject areas such as personal securities transactions, potential conflicts of interest, gifts and entertainment, outside business activities, pay-to-play, and other regulatory requirements.
• Development, implementation, and ongoing administration of investment adviser and broker dealer compliance policies and procedures, development of desk procedures, and general administration of compliance tooling.
• Assist with training initiatives, internal reconciliations, administering access, and projects.

Qualifications:

• Bachelor's degree or equivalent required, plus 2 years relevant work experience.
• 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.
• Previous compliance experience within the asset management industry preferred.
• Familiarity with financial service products and markets, securities laws and regulations, back office operations and trading systems preferred.
• 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, synthesis, 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 preferred.
• Experience with FIS Protegent PTA, Red Oak, 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.

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

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