Assistant Director, AML & Financial Crimes Governance

Principal Financial Group; Des Moines (IA); On-site; USD 127,000 - 171,000; Full time

Job summary

Principal Financial Group seeks an Assistant Director – Compliance to support the Enterprise Financial Crimes team and collaborate with the AML Officer to oversee AML programs for broker-dealer and RIA businesses. You will coordinate risk assessments, governance reporting, and regulatory change management while partnering with global teams to enhance compliance and operational efficiency.

The role emphasizes analytics, AI opportunities, and strong stakeholder engagement across compliance, legal,

Qualifications

• Bachelor's degree or equivalent; 8+ years in AML, financial crimes or regulatory compliance.
• Experience administering, coordinating, or supporting regulatory compliance programs.
• Strong understanding of AML regulatory requirements for broker-dealers and RIAs.
• Experience partnering across compliance, legal, risk, operations, technology, and business functions.
• Excellent written, verbal, interpersonal, and relationship-management skills.

Responsibilities

• Coordinate AML governance activities, risk assessments, examinations, regulatory initiatives, reporting, and ongoing program administration.
• Develop and maintain governance materials, management reporting, metrics, and dashboards for program performance and regulatory developments.
• Support regulatory examinations, internal audits, independent testing, and inquiries by coordinating responses and documenting evidence.
• Provide AML compliance consultation and SME on regulatory requirements, program expectations, risk management practices, and control frameworks.
• Identify opportunities to improve operational effectiveness through AI, automation, data analytics, and technology-enabled process improvements.

Skills

AML regulatory knowledge

Regulatory compliance

Project management

Data analytics

AI applications

Communication

Relationship management

Education

Bachelor's degree or equivalent

Job description

Principal Financial Group seeks an Assistant Director – Compliance to support the Enterprise Financial Crimes team and collaborate with the AML Officer to oversee AML programs for broker-dealer and RIA businesses. You will coordinate risk assessments, governance reporting, and regulatory change management while partnering with global teams to enhance compliance and operational efficiency.

The role emphasizes analytics, AI opportunities, and strong stakeholder engagement across compliance, legal,