Compliance Advisor

Principal Financial Services, Inc.; Des Moines (IA); On-site; USD 104,400 - 187,200; Full time

Benefits offered by this job

Flexible Time Off

Pension Eligible

Job summary

Principal Financial Services, Inc. is seeking a Compliance Advisor to support our Broker-Dealer program and strengthen our compliance posture.

This role acts as a second line of defense, partnering with the business, sharing subject-matter expertise in broker-dealer compliance, and guiding risk management initiatives. You will monitor regulatory changes, provide guidance, and contribute to the design of policies, SOPs, and controls, while mentoring junior staff and building enterprise-wide

Qualifications

• Bachelor's degree or equivalent.
• 6+ years' experience in broker-dealer trading operations, compliance and related laws.
• FINRA Series 7 and 24 licenses highly desired; if not licensed, able to obtain within 6 months of start.
• Excellent written and oral communication skills.
• Advanced analytical, problem solving, and organizational abilities.
• High level of creativity and resourcefulness.
• Experience demonstrating robust data analysis and reporting capabilities, and risk management frameworks and concepts.
• Experience in assessing and implementing process improvements.
• Mentoring and coaching experience.
• Ability to interact with regulatory bodies.

Responsibilities

• Monitor regulatory changes and provide research, analysis and guidance on laws, regulations and complex compliance matters.
• Evaluate compliance and business situations and communicate guidance to partners and management.
• Participate in high-visibility projects and help craft policies, SOPs and controls.
• Leverage data to provide in-depth analysis and reporting for decision-making.
• Assist in preparing for regulatory exams and inquiries.
• Mentor and coach less experienced compliance professionals.
• Partner with business to design solutions for customer needs and processes.
• Build and sustain relationships across the enterprise.
• Perform other duties or special projects as needed.

Skills

Analytical skills

Communication skills

Problem solving

Organizational abilities

Creativity

Data analysis

Mentoring

Process improvements

Regulatory interaction

Education

Bachelor's degree

Job description

What You'll Do

Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance program and supports the risk owners.

The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on broker‑dealer compliance. This position will also provide advice and support on select business development initiatives and projects.

You will also:

• Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.
• Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.
• Participate on highly visible special projects critical to business unit and corporate growth initiatives and assist in crafting firm policy, standard operating procedures (SOP), and controls
• Leverage data to provide in-depth analysis and reporting to help guide decision‑making processes.
• Assist in preparing for and responding to regulatory exams and other inquiries.
• Contribute to organizational learning by mentoring and coaching less experienced compliance professionals.
• Partner with the business to help design creative solutions for complex customer needs and business processes.
• Build and sustain strong relationships with colleagues throughout the enterprise.
• Perform other job‑related duties or special projects as needed.

Who You Are

• Bachelor’s degree, or equivalent;
• 6+ years’ experience resulting in expertise in broker‑dealer trading operations, compliance and the related governing laws and regulations.
• FINRA Series 7, and 24 licenses are highly desired. If not fully licensed must be able to obtain within 6 months of start.
• Excellent written and oral communication skills.
• Advanced analytical, problem solving, and organizational abilities.
• High level of creativity and resourcefulness.
• Demonstrated application of robust data analysis and reporting capabilities, and risk management frameworks and concepts.
• Experience in assessing and implementing process improvements.
• Mentoring and coaching experience.
• Ability to interact with regulatory bodies.

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)

$104,400 - $187,200 / year

Salary Details

The following locations are examples of market‑specific salary ranges across different geographies.

• Wichita, KS: $104,400 - $140,400 / year
• Des Moines, IA: $110,200 - $148,200 / year
• Charlotte, NC: $116,000 - $156,000 / year
• Chicago/Minneapolis: $127,600 - $171,600 / year
• Los Angeles/New York City: $139,200 - $187,200 / 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

Yes

Work Authorization/Sponsorship

At this time, we are not considering applicants who require any form of immigration sponsorship to work in the United States now or in the future. This includes F1‑OPT, F1‑CPT, H‑1B, TN, L‑1, J‑1, and similar visas. For more information on work authorization requirements, please use the following links: Workforce (U.S.) Privacy Notice

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.