Senior Compliance Strategy & Risk Lead

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

Job summary

Principal Financial Group is seeking an Associate Director, Compliance for the Asset Management Compliance team. You will drive strategic compliance programs, conduct risk assessments, oversee monitoring and testing, and advise leaders on regulatory developments.

You will lead data analysis, regulatory research, and reporting, and collaborate across business units to ensure regulatory alignment and effective policy implementations. Hybrid/remote options available.

Qualifications

• 8+ years of relevant financial services experience
• 2+ years of compliance, risk management, legal or regulatory experience
• Familiarity with SEC/FINRA/state/federal, AML, KYC, GDPR
• Must be comfortable providing consultation to various organizational levels

Responsibilities

• Drive strategic compliance programs across the enterprise or business unit
• Conduct risk assessments and oversee compliance monitoring and testing
• Advise senior leaders on regulatory developments and policy/training strategies
• Lead data analysis, regulatory research and reporting to stakeholders
• Oversee process redesign and enterprise-wide or unit-specific compliance programs

Skills

Strong communication skills

Analytical skills

Problem solving

Consulting/relationship building

Attention to detail

Organizational skills

Independent work style

Team collaboration

Professionalism

Education

Series 3 license required

Series 30 preferred

Regulatory/compliance certifications

Tools

Microsoft Office

Job description

Principal Financial Group is seeking an Associate Director, Compliance for the Asset Management Compliance team. You will drive strategic compliance programs, conduct risk assessments, oversee monitoring and testing, and advise leaders on regulatory developments.

You will lead data analysis, regulatory research, and reporting, and collaborate across business units to ensure regulatory alignment and effective policy implementations. Hybrid/remote options available.