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Principal Financial Services, Inc

Sr Regulatory Advisor - Annuities - #221967

Principal Financial Services, Inc - Des Moines, IA

Job Area: All OtherBusiness Area: Individual AnnuitiesLocation: IA - Des MoinesCareer Category: Experienced ProfessionalFull/Part Time: Full-TimeRegular/Temporary: RegularDate Posted: 2018-06-26

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 mind—to 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, you’ll find plenty of opportunities to enrich your personal and professional life.


The Sr Regulatory Advisor will interpret complex regulatory issues and evaluate situations and provide strategic guidance to internal and external business partners on a variety of complex compliance issues.

Additional responsibilities may include:

Independently research, define, analyze, develop, and recommend solutions/ opportunities relating to systems, marketing, product, and service development for high impact, complex business needs.

Provide comprehensive analysis and guidance on regulations.

Lead efforts to respond to regulators, clients and key stakeholders on business and regulatory matters.

Monitor reports and collaborate with various business areas to provide solutions for complex customer needs.

Investigate and evaluate compliance and business situations; communicate to business partners and management.

Implement new policies, procedures, workflow approaches, and system enhancements. Coordinate and/or control components of a project, and/or may serve as project manager for projects related to area of expertise.

Develop, document, and maintain communication, documentation, and training through a variety of methods and mediums.

Perform other job-related duties and special projects as required.


Skills required:

Bachelor's degree or equivalent of 8 years’ work experience

4 years related experience. (Regulatory, compliance, etc.)

Experience working with Annuities products is preferred.

Active FINRA Series 6 or 7 required.

Successful candidates will have the following:

May need to become an associated person of Princor, which requires fingerprint and a full background check.

Strong decision-making, problem solving, oral and written communication, organizational, and time management skills.

Must be a self-starter who can work independently and with people at all job levels.

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.

Job Level

Willing to consider applicants at the next level base on experience.


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.

18 days 22 hours ago

Principal Financial Services, Inc

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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.