Regulatory Compliance Analyst – Financial Services

Principal Financial Group; Des Moines (IA); On-site; USD 90,000 - 120,000; Full time

Job summary

Principal Financial Group is seeking a compliance professional to independently conduct regulatory research, analyze data, identify risk exposures, and support broker-dealer regulatory obligations within the Principal family of products and services.

You will design policies, assist testing and examinations, prepare reports, and mentor colleagues while collaborating across teams to drive compliance initiatives and continuous process improvements.

Qualifications

• 4+ years in financial services with regulatory exposure.
• Experience in compliance products, markets, and regulations (SEC/FINRA/state/federal).
• Familiarity with AML, KYC, GDPR where applicable.

Responsibilities

• Data analysis: gather, organize, and summarize information from compliance sources.
• Regulatory research: interpret laws and prepare actionable reports.
• Risk management: monitor activities and assist in testing and examinations.
• Communications & reporting: write clear compliance reports, filings, and procedures.
• Process improvement: help draft and implement policies and controls.

Skills

Financial services experience

Written & verbal communication

Analytical thinking

Problem-solving

Relationship-building

Consulting & influencing

Tools

Excel

PowerPoint

Word

Job description

Principal Financial Group is seeking a compliance professional to independently conduct regulatory research, analyze data, identify risk exposures, and support broker-dealer regulatory obligations within the Principal family of products and services.

You will design policies, assist testing and examinations, prepare reports, and mentor colleagues while collaborating across teams to drive compliance initiatives and continuous process improvements.