Remote Assistant Director, AML Compliance & Governance

Principal Financial Group; Des Moines (IA); Remote; USD 127,000 - 171,000; Full time

Job summary

Principal Financial Group is seeking an Assistant Director - Compliance to lead AML governance and program administration for broker-dealer and RIAs. You will collaborate with the AML Officer and global teams to manage risk assessments, training, and regulatory change management while leveraging AI and data analytics to enhance compliance effectiveness.

The role emphasizes cross-functional partnership, program reporting, and oversight of examinations, with a focus on operational efficiency and

Qualifications

• Bachelor's degree or equivalent required; 8+ years in AML, financial crimes compliance, regulatory compliance, risk management, or related field.
• Experience administering/regulatory compliance programs including governance, risk assessments, testing, audits, and change management.
• Strong understanding of AML regulatory requirements for broker-dealers and RIAs; experience with other regulated financial services is a plus.

Responsibilities

• Coordinate AML governance activities and program administration across multiple teams globally.
• Support regulatory examinations, internal audits, and inquiries by coordinating responses and documentation.
• Develop governance materials, dashboards, and metrics to track program performance and regulatory developments.
• Identify opportunities to improve operational effectiveness through data analytics, AI, automation, and technology-enabled processes.
• Build cross-functional relationships to drive execution of regulatory and governance activities.

Skills

Relationship-building

Project management

Operational skills

Analytical skills

Communication skills

AML compliance

Regulatory program oversight

Education

Bachelor's degree

FINRA Series 7/24/65/66 licenses

Certifications: CAMS/CFCS/CRCM

Tools

AI applications

Data analytics

Workflow automation

Compliance technologies

Job description

Principal Financial Group is seeking an Assistant Director - Compliance to lead AML governance and program administration for broker-dealer and RIAs. You will collaborate with the AML Officer and global teams to manage risk assessments, training, and regulatory change management while leveraging AI and data analytics to enhance compliance effectiveness.

The role emphasizes cross-functional partnership, program reporting, and oversight of examinations, with a focus on operational efficiency and