Compliance Analyst - Broker Dealer Product Support

Job overview

The Compliance Analyst - Broker Dealer Product Support is an onsite role based in Des Moines, IA, with a salary range of $69,300–$109,200 per year. This position supports the broker-dealer compliance group at Principal Financial Group, a firm dedicated to making financial security accessible to all. This role exists to ensure regulatory adherence for broker-dealer products and services. The analyst will conduct regulatory research, draft policies, participate in testing, and provide compliance guidance to internal stakeholders.

What you'll do

• Conduct regulatory research and interpret developments.
• Assist in drafting policies and procedures.
• Participate in compliance testing and examinations.
• Prepare reports and filings.
• Provide compliance consultation to internal teams.

What we're looking for

Skills & competencies

full-time

day shift

des moines ia

compliance

broker-dealer

regulatory research

risk management

finra

principal

onsite

Work arrangement

• Weekend coverage required

Benefits & perks

• Flexible Time Off (FTO), Pension Eligible, Comprehensive health/financial benefits

Why this role

Focus on broker-dealer compliance and regulatory research within a financial services firm.

About the employer

Principal Financial Group is hiring for this role. Industry: Investment Banking and Securities Intermediation. Sector: 52.