Compliance Analyst: Regulatory Risk & Reporting

Principal International; Des Moines (IA); Hybrid; USD 69,000 - 109,000; Full time

Job summary

Principal International is seeking a compliance-focused professional to support broker‑dealer compliance for Principal Securities and Principal Funds Distributor offerings. You’ll gather data, research regulations, and craft actionable insights across auditing, training and policy development.

The role emphasizes independent work, cross‑functional collaboration, and ongoing process enhancement in a dynamic financial services environment, with travel as needed.

Qualifications

• 4+ years of relevant financial services experience
• Previous compliance experience within financial services industry preferred
• FINRA licensing may be required
• Familiarity with financial service products, markets, laws and regulations (SEC/FINRA/state/federal, AML, KYC, GDPR)
• Experience in a product manufacturing/wholesale distribution broker‑dealer structure preferred
• Proficiency with Microsoft Office applications, including Excel, Word, and PowerPoint
• Strong written and verbal communication skills
• Excellent organizational skills and attention to detail
• Strong analytical, critical thinking, and problem‑solving abilities
• Proven consulting, influencing, and relationship‑building skills
• Ability to travel periodically, including occasional overnight stays

Responsibilities

• Data Analysis – Gather and organize information from multiple sources (e.g., compliance reports, audit results, incident logs, regulatory documents). 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 (e.g., AML, KYC, GDPR, HIPAA, market conduct) to support compliance initiatives.
• Risk Management – Monitor business activities and review materials to identify compliance risks and exposures; assist with testing and examinations.
• Communications & Reporting – Write clear, concise compliance reports, filings, policies, training materials and procedures; present findings to audiences.
• Process Improvement – Draft and implement compliance policies, procedures, and controls; document workflows and propose improvements

Skills

Data Analysis

Regulatory Research

Risk Management

Communications

Process Improvement

Tools

Excel

SQL

Tableau

Power BI

Job description

Principal International is seeking a compliance-focused professional to support broker‑dealer compliance for Principal Securities and Principal Funds Distributor offerings. You’ll gather data, research regulations, and craft actionable insights across auditing, training and policy development.

The role emphasizes independent work, cross‑functional collaboration, and ongoing process enhancement in a dynamic financial services environment, with travel as needed.