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Compliance Advisor
Principal Financial Group
El Dorado Hills, CA, United States
Job Details - this job has expired, please see similar jobs below
Job Area:
Compliance/Legal
Business Area:
PGI Other
Career Category:
Experienced Professional
Full/Part Time:
Full-Time
Regular/Temporary:
Regular
Date Posted:
05/04/2018
Responsibilities:
It’s not what we do…It’s who we are.
At The Principal, every role supports a greater purpose - to give real people an edge in planning and protecting their financial lives. And after more than 130 years of service, we’ve never had a more vibrant and dynamic global team united in our purpose.
Through community involvement, innovative financial solutions and dedication to career development, we make a difference in millions of lives every day, including our employees'.
Principal Funds is a forward-thinking global investment manager, asset allocation expert, and retirement leader for financial professionals and investors. Principal Funds continues to increase in assets under management and market share and is currently ranked #15 in the Strategic Insight advisor-sold mutual fund market share rankings.
We are currently looking to add a dynamic Compliance Advisor to our team. As a Compliance Advisor, you will play a critical role in the link between our Compliance Program and valued business partners.
Your attention to detail, ability to manage multiple complex projects simultaneously, investigate issues, interpret rules, and strong reasoning/problem solving skills will help you succeed. Our Compliance team works collaboratively and independently to ensure that our Compliance program exceeds regulatory expectations.
• Compliance Program Administration: Your ability to organize and prioritize tasks, pay special attention to detail, multi-task, investigate issues, interpret rules, write and implement policy, and employ problem solving skills will help you succeed within our program.
• Broker Dealer responsibilities will include licensing and registration (CRD), Firm Element, WSP, and annual 3120 testing.
• Compliance team works collaboratively and independently to ensure that our Compliance program exceeds regulatory expectations. As our dynamic firm and industry change we are keeping pace through process improvement and innovation.
• Individual will manage securities licenses, conduct advertising & marketing review, perform OSJ location reviews, complete AML reviews.
• Responsible for monitoring regulatory change developments.
• With our continued commitment and dedication to serving our business partners, our Compliance Team offers growth potential through a rewarding career within the investment industry.
If you are in financial regulation and find satisfaction in bringing business friendly compliant solutions to the table, we may have a job for you!
Qualifications:
• Bachelor's degree or equivalent required, prefer continuing education with a financial emphasis.
• 5 plus years' experience in administering a successful Broker Dealer compliance program required. 8 plus years' experience preferred.
• Deep knowledge of the investment advisory and asset management environments desired.
• FINRA Series 7 and 24 required.
• Must be team-oriented with ability to work independently and efficiently to meet deadlines with limited supervision.
• Must be able to build/maintain strong relationships, influence others, and build consensus amongst several stakeholders.
• Requires attention to detail and ability to multi-task.
• Must be able to manage complex projects and lead cross functional teams as necessary.
• Proficient with technology and identifying technological solutions to improve efficiency.
• Anti-money Laundering compliance administration a plus.
• Requires excellent written and verbal communications.
• Requires strong investigative, research, analytical, and problem solving skills.
• Travel required.
Investment Code of Ethics:
You will be required to comply with a Code of Ethics which covers personal trading activities for you and members of your household.
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.
Location:
This position can be located in Des Moines, Iowa, Folsom, CA, New York, NY or other PGI office location.
AAEEO:
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.