Compliance Analyst: Reg & Risk for Financial Services

Principal Financial Group; Des Moines (IA); On-site; USD 69,000 - 109,000; Full time

Job summary

Principal Financial Group is seeking a compliance professional to support broker-dealer obligations for domestic Principal products and services. You will conduct regulatory research, prepare reports, and assist in designing policies and procedures while mentoring colleagues.

The role emphasizes cross-functional collaboration, testing, and process improvements, with opportunities to travel as needed and contribute to risk management initiatives within a trusted financial services environment.

Qualifications

• 4+ years of financial services experience in compliance or a related role.
• Familiarity with laws and regulations (SEC/FINRA/state/federal, AML, KYC, GDPR).
• Proficiency with Microsoft Office (Excel, Word, PowerPoint).

Responsibilities

• Conduct regulatory research and interpret developments to assess risk exposures.
• Design and draft policies, procedures, and control enhancements.
• Support testing, examinations, and regulatory filings with clear reports.
• Communicate findings to diverse audiences and mentor teammates.
• Collaborate across teams to implement compliance initiatives and improvements.

Skills

Regulatory knowledge

FINRA/SEC knowledge

Analytical skills

Written & verbal communication

Cross-functional collaboration

Office software (Excel/PowerPoint)

Travel flexibility

Education

Bachelor's degree in Finance/Compliance

Tools

Excel

SQL basics

Tableau/Power BI

Job description

Principal Financial Group is seeking a compliance professional to support broker-dealer obligations for domestic Principal products and services. You will conduct regulatory research, prepare reports, and assist in designing policies and procedures while mentoring colleagues.

The role emphasizes cross-functional collaboration, testing, and process improvements, with opportunities to travel as needed and contribute to risk management initiatives within a trusted financial services environment.