Insurance Compliance Analyst – Regulatory Testing & Filings

Principal Financial Group; Des Moines (IA); On-site; USD 69,000 - 126,000; Full time

Benefits offered by this job

Pension eligibility

Equal opportunity employer

Job summary

Principal Financial Group in Des Moines, IA is seeking a Compliance Analyst to support regulatory excellence in life and disability insurance. You will collaborate with business leaders to ensure adherence to laws, assist with targeted testing, and prepare regulatory reports for authorities.

The role requires a bachelor’s degree and 4+ years of compliance experience in financial services, including interaction with regulators. Occasional travel and potential FINRA licensing may be required.

Qualifications

• Bachelor’s degree or equivalent required; 4+ years of compliance experience within a financial services organization (life and disability insurance preferred)
• 2+ years working with insurance regulators
• 2+ years in compliance testing, auditing or risk assessment
• Knowledge of life and disability insurance regulations
• Strong analytical and communication skills, including regulatory correspondence
• Proactive mindset with a drive to improve processes
• Ability to build trusted partnerships across all levels of the organization
• Travel, including overnight stays, may be required periodically
• FINRA licensing may be required

Responsibilities

• Assist business partners and compliance leadership with legal, regulatory, and operational issues.
• Assist with targeted testing across both life and disability insurance products.
• Prepare and submit timely regulatory reports and filings to relevant authorities as required.
• Respond to requests for information relating to regulatory examinations, surveys, and inquiries.
• Analyze compliance data and provide insights to drive informed decision-making.
• Collaborate with cross-functional teams to develop practical, risk-aware solutions.
• Review and strengthen compliance controls and business processes.
• Evaluate insurance operations, including SEC Rule 38a-1 assessments.
• Identify and implement enhancements to the compliance program.
• Communicate clearly and confidently with internal teams and regulators under tight deadlines.

Skills

Analytical skills

Communication

Regulatory compliance

Risk assessment

Proactive mindset

Education

Bachelor’s degree or equivalent

Job description

Principal Financial Group in Des Moines, IA is seeking a Compliance Analyst to support regulatory excellence in life and disability insurance. You will collaborate with business leaders to ensure adherence to laws, assist with targeted testing, and prepare regulatory reports for authorities.

The role requires a bachelor’s degree and 4+ years of compliance experience in financial services, including interaction with regulators. Occasional travel and potential FINRA licensing may be required.