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What You'll Do:
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The Compliance Advisor will join the Principal Funds Compliance Team and support the U.S. Funds compliance program and Fund Board. You’ll collaborate with members of the Compliance team, key business partners, and senior leaders.
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<b>In this role you will have the opportunity to:</b>
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<li> Perform compliance due diligence oversight of affiliated and unaffiliated sub-advisers, including analyzing, researching, and evaluating various information and data to draw conclusions on adequacy of compliance programs </li>
<li>Investigate issues or trends identified through oversight process</li>
<li> Provide consultation, implementation, and evaluation of policies, procedures, and controls</li>
<li> Assess regulatory changes for impact to the compliance program and collaborate with business partners to implement policies, procedures and controls</li>
<li> Build, test, and enhance controls and procedures and assess ways to improve processes</li>
<li> Prepare reporting for various stakeholders, including internal committees, business partners, and the Fund Board</li>
<li> Assist with regulatory examinations and internal audits</li>
<li> Serve as a mentor and resource for team members and business partners</li>
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<b><br> This position is also a phenomenal way to advance your career! As a growing company with over 20,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.</b>
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<br> Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
</div> Who You Are:
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<li>Bachelor's degree or equivalent experience</li>
<li> 5+ years of relevant compliance experience in the financial services industry with the Investment Advisers Act</li>
<li> Familiarity with financial service products and markets, securities laws and regulations (SEC/other federal regulatory bodies/state)</li>
<li> Excellent communication, organization, analytical, attention to detail, problem solving, consulting, and relationship building skills</li>
<li> Demonstrated ability to efficiently and effectively work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks</li>
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<b> Preferred skills include:</b>
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<li> Experience working with funds regulated by the Investment Company Act (’40 Act), strongly preferred</li>
<li> Process improvement and system automation experience </li>
<li>Experience working with 40 Act funds, institutional clients and managed accounts</li>
</ul> Salary Range Information: Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Salary Range: $95200 - $167200 / year Time Off Program: Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible: Yes Additional Information:
<h2 class="jobSectionHeader"><b>Work Environments</b></h2>
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This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). You’ll work with your leader to determine which option may align best based on several factors.
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<h2 class="jobSectionHeader"><b> Work Authorization/Sponsorship </b></h2>
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At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.
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Nonimmigrant Workers and Green Card for Employment-Based Immigrants
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<h2 class="jobSectionHeader"><b> Investment Code of Ethics </b></h2>
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For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.
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<h2 class="jobSectionHeader"><b> Experience Principal </b></h2>
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At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.
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<h2 class="jobSectionHeader"><b> Principal is an Equal Opportunity Employer </b></h2>
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All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
</div> Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Date First Posted (TTF): 5/8/2024 Latest Post Date: Careers - US: 5/8/2024
<p>LinkedIn Remote Hashtag</p> : #LI-Remote
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Posted
Updated
Closed
Practice Areas
Corporate
Specialties
40 Act, Compliance/Regulatory, Investment Advisor, Investment Funds, Fund Formation