Principal Compliance Advisor (Principal Funds) in Des Moines, Iowa
As a Compliance Advisor within the Principal Funds Compliance Team you will be supporting the Funds and the Fund Board. Within the Compliance team of Principal Funds, you will be responsible for:
Assisting with the implementation and administration of compliance-related policies and procedures, and monitoring applicable rules and regulations
Acting as a compliance subject matter expert for mutual funds and ETF policies and procedures and responding to inquiries from and advising members of various mutual fund and ETF business teams
Working with mutual fund and ETF business teams to provide oversight of service providers of the Principal Funds platforms, identifying and mitigating areas of non-compliance
Assisting with the facilitation, coordination, and the production of requests for information and/or responses to inquiries from regulatory authorities
Managing special compliance and regulatory projects from the initiation and planning stages through execution and completion
Developing written materials for and presenting information to the Principal Funds Board, as needed
Bachelor's degree or equivalent, plus 5+ years related work experience supporting the compliance programs for SEC-registered investment companies and/or investment advisers.
Familiarity with financial service products and markets, securities laws and regulations (SEC/other federal regulatory bodies/state), back office operations, auditing, and/or trading systems preferred.
Excellent written and verbal communication, attention to detail, and analytical, consulting and collaboration skills.
Ability to take ownership and initiative, to negotiate, influence and build consensus, and successfully collaborate with individuals across business units.
Efficiently and effectively work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks.
Strong business focus and the ability to work in a fast paced, team environment.
Comfortability providing consultation and direction to individuals at varying levels within the organization.
Display a high level of professionalism and the ability to explain complex information to individuals with varying degrees of understanding.
Travel, including overnight stays, may be required periodically.
FINRA licensing may be required.
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.
https://www.uscis.gov/working-in-the-united-states/temporary-nonimmigrant-workers and https://www.uscis.gov/green-card/green-card-eligibility/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.
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.
Requisition ID: 2021-31340
Enterprise Segment: PGI
External Company Name: Principal Financial Group
Street: 711 High Street
FLSA Status: Exempt