Senior Compliance Director – Retail Financial Distribution

Principal International; Des Moines (IA); Hybrid; USD 127,000 - 149,000; Full time

Benefits offered by this job

Pension plan

Flexible Time Off

Job summary

Principal Asset Management seeks a seasoned compliance leader to drive strategic programs for the Registered Investment Adviser and Broker Dealer supporting its retail product distribution. You will guide a practice group, perform risk assessments, monitor compliance, and advise senior leaders on evolving regulatory requirements across business units.

As a key liaison with Principal Securities, you will shape policy, trainings, and governance.

Qualifications

• :

Responsibilities

• Drive strategic compliance programs for RIA and BD in Principal Securities’ retail distribution.
• Lead a compliance practice group, set direction, conduct risk assessments, oversee monitoring, and advise senior leaders on regulatory developments.
• Oversee policy training strategies, process redesign, and cross‑unit collaboration to implement compliant practices.
• Act as liaison with regulatory bodies and external stakeholders, ensuring consistent, enterprise‑level messaging and reporting.
• Develop staff, set team goals, manage performance, and deliver successful compliance initiatives.
• Support data strategies, analytics, and reporting to improve compliance insights and decision making.

Skills

Regulatory knowledge

Data analysis

Risk management

Stakeholder management

Leadership

Communication

Problem solving

Travel readiness

Tools

Microsoft Office

Excel

PowerPoint

Word

Job description

Principal Asset Management seeks a seasoned compliance leader to drive strategic programs for the Registered Investment Adviser and Broker Dealer supporting its retail product distribution. You will guide a practice group, perform risk assessments, monitor compliance, and advise senior leaders on evolving regulatory requirements across business units.

As a key liaison with Principal Securities, you will shape policy, trainings, and governance.