Associate Director, Compliance

Job overview

Associate Director, Compliance is an onsite role in Des Moines, IA. The stated annual salary range is $127,000–$171,000. The role supports the Principal Asset Management Compliance team. The position advances compliance programs through risk assessment, monitoring, testing, regulatory research, and process improvement. It advises senior leaders and works across business areas to help align business activity with regulatory requirements and company policies.

What you'll do

• Set direction for compliance programs
• conduct complex risk assessments and compliance monitoring and testing
• assist with regulatory examinations
• advise senior leaders on regulatory developments
• analyze compliance data
• research and interpret laws and regulations
• support regulatory change management
• develop compliance communications and reporting
• design and improve programs, policies, and controls
• liaise with regulators, industry groups, and external stakeholders.

What we're looking for

Skills & competencies

associate director

compliance

asset management

risk assessment

regulatory research

compliance monitoring

compliance testing

series 3

series 30 preferred

des moines ia

principal financial group

$127k–$171k/year

Work arrangement

• Weekend coverage required

Benefits & perks

• Flexible Time Off for salaried employees
• bonus program opportunity for non-sales positions.

Why this role

Series 3 is required; Series 30 is preferred. Periodic travel, including overnight stays, may be required.

About the employer

Principal Financial Group is hiring for this role. Industry: Portfolio Management and Investment Advice. Sector: 52.