Senior Compliance Strategy & Risk Lead - Remote

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

Job summary

Principal Asset Management is seeking an Associate Director, Compliance, to spearhead strategic compliance programs and provide expert guidance on regulatory developments across the enterprise. The role emphasizes risk assessments, monitoring, testing, and cross-functional collaboration with regulators and leadership.

The candidate will shape policy, training, and change management, leveraging data analytics to drive informed decisions and protect the firm’s regulatory stance.

Qualifications

• 8+ years in financial services demonstrated through work, training, or education.
• 2+ years in compliance, risk, legal, or regulatory roles.
• Securities licenses: Series 3 required; Series 30 preferred.
• Experience with SEC/FINRA/state/federal regulations, AML/KYC, GDPR.
• Proficient with Microsoft Office and data tools.
• Strong written and verbal communication; detail oriented.

Responsibilities

• Lead strategic compliance programs across enterprise or units.
• Conduct risk assessments and oversee compliance monitoring and testing.
• Advise senior leaders on regulatory developments and policy governance.
• Coordinate with regulators and industry groups; communicate findings clearly.

Skills

Regulatory compliance

Risk management

Data analysis

Regulatory research

Communication

Series 3

Series 30

Microsoft Office

Finance knowledge

Consulting

Independent work

Tools

Microsoft Office

Job description

Principal Asset Management is seeking an Associate Director, Compliance, to spearhead strategic compliance programs and provide expert guidance on regulatory developments across the enterprise. The role emphasizes risk assessments, monitoring, testing, and cross-functional collaboration with regulators and leadership.

The candidate will shape policy, training, and change management, leveraging data analytics to drive informed decisions and protect the firm’s regulatory stance.