Compliance Analyst: Regulatory Risk & Data Insights

Principal Financial Group; Des Moines (IA); On-site; USD 90,000 - 130,000; Full time

Job summary

Principal Financial Group is seeking a compliance professional to independently conduct regulatory research and data analysis, interpret developments, and identify risk exposures for broker-dealer obligations in Principal products and services. You will help draft policies, participate in testing, prepare reports, and mentor colleagues while increasing independent contributions.

You will collaborate across internal teams to implement compliance initiatives, support examinations, and strengthen

Qualifications

• 4+ years of relevant financial services experience demonstrated through work experience, training, military experience or education.

Responsibilities

• Data Analysis – Gather and organize information from multiple sources. Compile, aggregate, and analyze data using basic statistics; identify patterns, trends, or anomalies to support compliance decisions.
• Regulatory Research – Conduct research on laws, regulations, and industry standards to support compliance initiatives. Interpret legal language and compile findings into clear, actionable reports.
• Risk Management – Monitor business activities to identify compliance risks and exposures. Assist with testing, monitoring and examinations; facilitate documentation requests and analyze findings.
• Communications & Reporting – Write clear compliance reports, filings, policies and procedures. Present findings and recommendations to audiences; maintain records of activities.
• Process Improvement – Assist in drafting and implementing compliance policies, procedures, and controls; document workflows and propose improvements.

Skills

Data analysis

Regulatory research

Risk management

Reporting & communication

Process improvement

Tools

Excel

SQL

Tableau

Power BI

Job description

Principal Financial Group is seeking a compliance professional to independently conduct regulatory research and data analysis, interpret developments, and identify risk exposures for broker-dealer obligations in Principal products and services. You will help draft policies, participate in testing, prepare reports, and mentor colleagues while increasing independent contributions.

You will collaborate across internal teams to implement compliance initiatives, support examinations, and strengthen