[Hiring] Assistant Director - Field Compliance & Business Support @Principal Financial Group

Role Description

This role drives strategic compliance programs for the Registered Investment Adviser and Broker Dealer for the retail product and service distribution of Principal Securities by leading a practice group accountable for retail distribution support. Responsibilities include:

• Setting compliance practice group direction
• Conducting complex risk assessments
• Overseeing compliance monitoring
• Regular business and compliance project engagement
• Advising senior leaders on regulatory developments
• Contributing to policy and training strategies
• Leading process redesign
• Collaborating across business areas
• Influencing best practices as a key liaison with Principals Securities
• Setting team goals and developing staff
• Managing performance and fostering collaboration
• Ensuring successful delivery of compliance initiatives across business units

Additional responsibilities include:

• Data Analysis: Systematically collect, interpret, and utilize data to ensure compliance.
• Regulatory Research: Investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance.
• Risk Management: Conduct risk assessments to identify potential compliance issues.
• Communications/Reporting: Lead the development and execution of external communication strategies related to compliance matters.
• Process Improvements: Evaluate current compliance processes to identify inefficiencies and areas for improvement.
• People Leadership: Foster an environment which embraces diversity and inclusion, emboldens change, and nurtures collaboration.

This position requires successful completion of a criminal background check, and is subject to firm policies regarding FINRA associated persons and SEC Access Persons/Code of Ethics.

Qualifications

• 8+ years of relevant financial services experience demonstrated through one or a combination of work experience, training, military experience, or education.
• 2+ years previous compliance, risk management, legal, or regulatory experience.
• Experience in a dual registrant (RIA & BD) engaged in independent retail distribution.
• 3+ years of formal/informal leadership experience.
• FINRA licensing may be required.
• Deep understanding of financial service products, markets, laws, and regulations applicable to retail product distribution of a dual registrant.
• Proficiency with Microsoft Office applications, including Excel, PowerPoint, and Word.
• Excellent written and verbal communication skills with the ability to influence and build relationships across all levels of the organization.
• Strong analytical, problem-solving, organizational, and attention-to-detail skills.
• Proven ability to collaborate with business partners, manage stakeholder expectations, and balance multiple priorities in a fast-paced environment.
• Demonstrated ability to work independently while collaborating effectively across teams.
• Must be comfortable providing consultation to various organizational levels and display a high level of professionalism.
• Travel, including overnight stays, may be required periodically.

Requirements

• Salary Range: $127,000 - $149,000 / year
• Flexible Time Off (FTO) is provided to salaried (exempt) employees.
• Pension Eligible: Yes
• At this time, we are not considering applicants who require any form of immigration sponsorship to work in the United States.

Benefits

• Inclusive and competitive benefits protect physical, financial, and social well-being.

Company Description

At Principal, we believe in forming connections both personally and professionally. Together, we’re crafting a future for financial services that is guided by purpose – and that begins with you. Our success depends on the outstanding experiences, backgrounds, and talents of our employees.

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.