Regulatory Compliance Analyst – Insurance

Principal International; Des Moines (IA); Hybrid; USD 69,000 - 126,000; Full time

Job summary

Principal Asset Management in Des Moines, IA seeks a Compliance Analyst to support regulatory excellence in life and disability insurance. You will partner with business leaders to ensure adherence to laws and enhance testing programs.

The role requires 4+ years in financial services compliance, experience with regulators, and a proactive approach to improving controls. Travel may be required; FINRA licensing could be needed.

Qualifications

• Bachelor’s degree or equivalent required; 4+ years of compliance experience in financial services (life and disability 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 regulatory communication skills.

Responsibilities

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

Skills

Regulatory compliance

Auditing

Risk assessment

Regulatory reporting

Analytical skills

Communication skills

Stakeholder management

Travel readiness

FINRA licensing

Education

Bachelor’s degree or equivalent

Job description

Principal Asset Management in Des Moines, IA seeks a Compliance Analyst to support regulatory excellence in life and disability insurance. You will partner with business leaders to ensure adherence to laws and enhance testing programs.

The role requires 4+ years in financial services compliance, experience with regulators, and a proactive approach to improving controls. Travel may be required; FINRA licensing could be needed.