Director of Compliance Strategy – Retail Finance

Principal Financial Group; Des Moines (IA); On-site; USD 127,000 - 149,000; Full time

Job summary

Principal Financial Group is seeking an experienced Compliance leader to drive strategic programs for RIA and BD in retail distribution. The role oversees risk assessments, monitoring, policy development, and training strategies while partnering across business units to deliver complex compliance initiatives.

The candidate will guide data-driven decision making, regulatory change management, and external communications with regulators and stakeholders, while leading a diverse team and

Qualifications

• 8+ years of financial services experience.
• 2+ years compliance, risk management, legal or regulatory experience.
• Experience in a dual registrant (RIA & BD) engaged in independent retail distribution.
• 3+ years of formal/informal leadership experience.
• FINRA licensing may be required.
• Deep understanding of financial service products, markets, laws and regulations applicable to retail product distribution.

Responsibilities

• Data Analysis - collect, interpret, and utilize data to ensure compliance; create reports and visualizations.
• Regulatory Research - monitor regulatory changes and assess impact across business units.
• Risk Management - conduct risk assessments and oversee risk-based decision making.
• Communications/Reporting - develop and execute compliance messaging with external stakeholders.
• Process Improvements - design and implement enterprise-wide compliance programs and controls.
• People Leadership - foster diversity, coach staff, and manage performance across a global organization.

Skills

Data analysis

Regulatory research

Risk management

Communications/reporting

Process improvements

People leadership

Tools

Microsoft Excel

Microsoft PowerPoint

Microsoft Word

Job description

Principal Financial Group is seeking an experienced Compliance leader to drive strategic programs for RIA and BD in retail distribution. The role oversees risk assessments, monitoring, policy development, and training strategies while partnering across business units to deliver complex compliance initiatives.

The candidate will guide data-driven decision making, regulatory change management, and external communications with regulators and stakeholders, while leading a diverse team and