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Principal Financial Services, Inc

Senior Compliance Analyst

Principal Financial Services, Inc - Des Moines, IA

Job Area: Compliance/Legal

Business Area: Principal Securities

Location: IA - Des Moines

Career Category: Experienced Professional

Full/Part Time: Full-Time

Regular/Temporary: Regular

Date Posted: 2017-10-25

Be a part of something bigger

Do you want a career where you can make a real difference? At Principal®, you can.

We work with a greater purpose in mindto give people the financial tools and confidence to live their best lives. And we take that to heart not only for our clients but also extend that to our employees.

By choosing to work at Principal, you'll be a part of making a difference in the lives of customers and in communities. And you can make a difference in your own life by joining a company that cares about its employees as much as it cares about its customers. From career development to comprehensive benefits to our vibrant, diverse work environment, youll find plenty of opportunities to enrich your personal and professional life.


The Sr. Compliance Analyst for our Business Conduct team in Product and Distribution Compliance will investigate and analyze risk associated with legal, regulatory, and compliance issues. Evaluate situations and provide strategic guidance to internal and external business partners on a variety of complex compliance issues.

Additional responsibilities may include:

Provide comprehensive analysis and guidance on laws, regulations and complex compliance issues.

Lead efforts to prepare documentation and respond to insurance and securities regulators, clients and key stakeholders on business and regulatory matters.

Collaborate with various business areas to provide solutions for complex customer needs in complaint situations.

Investigate and evaluate compliance and business risk situations; clearly and effectively communicate, both verbally and in writing, the investigative summary of findings to business partners and management.

Travel unlikely, but possible up to 15%.


Skills required:

Bachelor's degree and 4 years of related experience. JD or MBA considered in lieu of some experience requirements.

Regulatory and/or experience specific to business conduct is preferred.

Active FINRA Series 7 and 24 is preferred. If you do not have an active Series 7 or 24 license, the Series 7 and 24 must be obtained within 6 months from date of employment.

Active FINRA Series 53 and/or 65/66 is preferred.

Successful candidates will have the following:

Strong legal and investigative skills.

Attention to detail.

Advanced analytical skills and problem solving.

High level of creativity and resourcefulness.

Strong oral and written communication abilities.

Visa Sponsorship

This position is not eligible for sponsorship for work authorization by Principal. Therefore, if you will require sponsorship for work authorization now or in the future, we cannot consider your application at this time.


Principal is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, gender identity, gender expression, pregnancy, national origin, citizenship status, disability, genetic characteristics, sexual orientation, marital status, domestic partner status, military status, protected veteran status, disability status or any other characteristic protected by law.

See job description.

12 days

Principal Financial Services, Inc


Senior Compliance Analyst Principal Financial Services, Inc - Des Moines, IA, United States


Location: Des Moines, IA

Company Profile:
The Principal Financial Group® (The Principal®) is a leading global financial company offering businesses, individuals and institutional clients a wide range of financial products and services. Our range of products and services includes retirement solutions, insurance, wellness programs, and investment and banking products through our diverse family of financial services companies and national network of financial professionals.