Assistant Compliance Officer

What You'll Do We're seeking an Assistant Director - Compliance to join the compliance team supporting Principal Funds Distributor, Inc. (PFD) and Principal Securities, Inc. (PSI). In this role you will lead, coach and develop compliance staff, evaluate workflows and responsibilities, and ensure processes remain current, scalable and operationally efficient. You will lead the practice group responsible for providing compliance consultation and risk assessment to PSI, PFD and stakeholders, guide development and maintenance of policies and procedures to meet broker‑dealer requirements for a range of product areas, set strategic vision, develop governance structures, build business connectivity between legal, compliance and risk teams, participate as a member of the PSI/PFD Compliance Leadership Team, and provide technical advice and subject matter expertise. Responsibilities Lead the practice group accountable for compliance consultation and risk assessment to PSI, PFD and stakeholders. Develop and maintain business connectivity between legal, compliance and risk areas for retirement, investment, asset management and insurance distributions. Participate as a member of the PSI/PFD Compliance Leadership Team in executing core compliance functions such as policy administration, training, regulatory compliance, risk assessments, testing and monitoring, field compliance and business partner support. Translate strategic objectives into actionable results and provide subject‑matter support on compliance policies, procedures and guidelines. Ensure process workflows are efficient and technology is appropriately utilized. Develop, maintain metrics and reporting to demonstrate the quantity and quality of work performed. Develop, mentor and motivate compliance staff through selection, training, performance review, salary administration and developmental plans. Build bench strength, foster collaboration across the Compliance Team, and establish industry relationships for benchmarking and best practices. Qualifications Bachelor's degree or equivalent required; JD or MBA may be considered in lieu of some experience. Eight or more years of relevant experience in compliance and legal issues within the financial services industry. Extensive knowledge of applicable compliance and legal issues, various company products and services, and department operations. Experience in retirement record keeping, insurance or mutual fund wholesale distribution, broker‑dealer or investment adviser functions. Creative and self‑directed thinking with the ability to consider a wide range of factors in solving problems. Excellent leadership, negotiation, presentation, organizational and interpersonal skills. Superior analytical, time‑management, oral and written communication skills. FINRA Series 7, 24 and state 65/66 preferred. Salary Range 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, which may result in total compensation exceeding the 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 (Non‑Exempt expressed as hourly; Exempt expressed as yearly): $127,000 - $171,000 / year. Time Off Program Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take paid time away from the office for vacation, personal, or short‑term illness. Employees do not accrue a bank of time off under FTO and there is no set number of days provided. Work Environments This role offers in‑office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, Raleigh, NC or Charlotte, NC). You'll work with your leader to determine which option may best align based on several factors. Work Authorization/Sponsorship At this time, we are not considering applicants 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. Equal Opportunity Employer 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. #J-18808-Ljbffr