Associate Director, Compliance

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

Job summary

Principal Financial Group is seeking an Associate Director, Compliance for the Asset Management Compliance team. You will drive strategic compliance programs, conduct risk assessments, oversee monitoring and testing, and advise leaders on regulatory developments.

You will lead data analysis, regulatory research, and reporting, and collaborate across business units to ensure regulatory alignment and effective policy implementations. Hybrid/remote options available.

Qualifications

• 8+ years of relevant financial services experience
• 2+ years of compliance, risk management, legal or regulatory experience
• Familiarity with SEC/FINRA/state/federal, AML, KYC, GDPR
• Must be comfortable providing consultation to various organizational levels

Responsibilities

• Drive strategic compliance programs across the enterprise or business unit
• Conduct risk assessments and oversee compliance monitoring and testing
• Advise senior leaders on regulatory developments and policy/training strategies
• Lead data analysis, regulatory research and reporting to stakeholders
• Oversee process redesign and enterprise-wide or unit-specific compliance programs

Skills

Strong communication skills

Analytical skills

Problem solving

Consulting/relationship building

Attention to detail

Organizational skills

Independent work style

Team collaboration

Professionalism

Education

Series 3 license required

Series 30 preferred

Regulatory/compliance certifications

Tools

Microsoft Office

Job description

What You'll Do

We're looking for an Associate Director, Compliance, to join the Principal Asset Management Compliance team. In this role you'll drive strategic compliance programs across the enterprise or within a business unit and responsibilities include setting program direction, conducting complex risk assessments, overseeing compliance monitoring, conducting compliance testing, assisting with regulatory examinations, and advising senior leaders on regulatory developments. This individual contributes to policy and training strategies, leads process redesign, and collaborates across business areas and is a key liaison with regulators and industry groups, the role influences best practices and while not a formal people leader, it impacts outcomes through subject matter expertise, strategic insight, and cross-functional engagement.

You’ll have the opportunity to:

• Data Analysis - Systematically collect, interpret, and utilize data to ensure compliance. Analyze data to identify trends, patterns, and anomalies that could impact compliance. Use data insights to assess regulatory requirements, identify risks, and recommend improvements. Create detailed reports and visualizations to communicate findings. Support the development and execution of data strategies to enhance compliance insights and decision-making
• Regulatory Research - Investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance. Monitor and evaluate legal and regulatory changes, assessing their potential impact on business operations and compliance programs. Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment. Communicate research findings and compliance requirements clearly to stakeholders across business units. Contributes to research prioritization and strategy, helping guide focus areas based on risk, regulatory trends, and business needs. Support the development and execution of regulatory change management processes, ensuring timely and effective implementation.
• Risk Management - Conduct risk assessments to identify potential compliance issues. Facilitate reporting of compliance risks across business units and geographies. Evaluate scenarios to determine the best course of action and offer strategic advice. Lead implementation of oversight programs to monitor and mitigate compliance risks. Review and approve deliverables using a risk-based approach to decision-making to support business goals while ensuring compliance with regulatory requirements and company policies.
• Communications/Reporting - Lead the development and execution of external communication strategies related to compliance matters, ensuring alignment with enterprise-wide messaging and brand standards. Serve as a key liaison with regulatory bodies, industry groups, and external stakeholders to advocate for the organization’s position on emerging regulatory issues. Collaborate with senior leadership to shape and deliver consistent, enterprise-level compliance messaging across business units and external platforms. Establish and oversee the communication and reporting strategy for compliance initiatives, ensuring timely, transparent, and effective dissemination of information to internal and external audiences.
• Process Improvements - Evaluate current compliance processes to identify inefficiencies and areas for improvement. Design and implement enterprise-wide or business unit compliance programs, policies, and controls that ensure regulatory adherence and support strategic business objectives. Lead and manage change initiatives to enhance compliance processes. Regularly monitor and review compliance activities for effectiveness. Collaborate with stakeholders to help ensure process improvements align with organizational goals.

Principal Asset Management is the global investment solutions business for Principal Financial Group® (Nasdaq: PFG), managing about $740 billion in assets and over 60 years of experience. Principal Asset Management has been recognized as a “Best Places to Work in Money Management” for 14 consecutive years! Check us out at www.principalam.com!

Who You Are

• 8+ years of relevant financial services experience demonstrated through one or a combination of the following: work experience, training, military experience or education
• 2+ years previous compliance, risk management, legal or regulatory experience
• Series 3 required
• Series 30 is preferred
• Previous compliance experience within financial services industry required
• Familiarity with financial service products, markets, laws and regulations (SEC/FINRA/state/federal, AML, KYC, GDPR)
• Proficiency working with Microsoft Office suite
• Strong written and verbal communication skills
• Excellent organizational and attention to detail skills
• Advanced analytical and problem-solving skills
• Strong consulting and relationship building skills
• Ability to work independently and in team environment
• Must be comfortable providing consultation to various organizational levels
• Must display high level of professionalism and ability to explain complex information
• Strong business focus and client orientation
• Ability to manage expectations and handle multiple projects
• Travel, including overnight stays, may be required periodically
• This position may require successful completion of a criminal background check.

Salary Range Information

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, whereby total compensation may far exceed 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)

$127000 - $171000 / year

Time Off Program

Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.

Pension Eligible

No

Work Environments

This role offers in-office, hybrid and remote work arrangements (only if residing more than 30 miles from Des Moines, IA.). You’ll work with your leader to figure out which option may align best based on several factors.

Work Authorization/Sponsorship

At this time, we're 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. For additional information around work authorization needs please use the following links.

Investment Code of Ethics

For Principal Asset Management 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.

Experience Principal

At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.

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.

Posting Window

We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.

Original Posting Date

9/25/2026

Most Recently Posted Date

9/25/2026

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