Compliance Advisor

What You’ll Do Assist compliance leadership in operating a comprehensive compliance program consisting of policies, procedures, and consultative guidance to business partners. Evaluate situations and provide strategic guidance to compliance with leadership and business partners on complex legal, regulatory, and compliance issues. Act as a subject‑matter expert for mutual fund, ETF, private fund, variable insurance, group annuity products and related securities laws and regulations. Conduct comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters. Mitigate risk and design solutions to meet regulatory and business requirements. Assist in preparing for and responding to regulatory exams and other inquiries. Participate on special projects critical to business unit and corporate growth initiatives. Leverage data to provide in‑depth analysis and reporting to guide decision‑making processes. Mentor and coach less experienced compliance professionals. Build and sustain strong relationships with colleagues throughout the enterprise. Perform other job‑related duties or special projects as required. Who You Are 6+ years of related experience (mutual fund and/or insurance carrier broker‑dealer compliance experience preferred). Bachelor’s degree, JD, or MBA considered in lieu of experience. Excellent written and oral communication skills. Advanced analytical, problem‑solving, and organizational abilities. High level of creativity and resourcefulness. Experience in assessing and implementing process improvements. Mentoring and coaching experience. Demonstrated application of risk management frameworks and concepts. Expert knowledge and experience with mutual fund, ETF, private fund, variable insurance and/or group annuity products and services, and related securities laws and regulations. Deep understanding of fund complex, insurance carrier and/or retirement record keeping business operations. Good order for FINRA representative and principal registrations preferred. Other Information Salary ranges: $104,400 – $150,000 / year (location dependent). Eligibility for bonus program and incentives for certain positions. Time Off Program: Flexible Time Off for salaried employees. Employees are eligible for pension. Work arrangements: in‑office, hybrid, or remote depending on location. Applicants must have U.S. work authorization; no sponsorship is provided. Investment Code of Ethics applies to all employees. Principal is an Equal Opportunity Employer. All qualified applicants will be considered without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. #J-18808-Ljbffr Segment (Twilio)