Job Details

Senior Compliance Analyst

Company name

Principal Financial Services, Inc

Organization Type


Job Type

Non-practicing Attorney

Date Last Verified

Feb 14,2020

Valid Through

May 29,2020

Posted on

Mar 27,2018

Years of Experience

Min 4 yrs required


Omaha, NE, United States

Employment Type



Practice Area
ERISA/Executive Compensation >> ERISA/Executive Compensation
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Senior Compliance Analyst
The candidate will support the Registered Investment Advisor and Broker Dealer in monitoring various compliance aspects of operations. Will keep abreast of legislative and regulatory changes and make policy or procedure recommendations for records of the broker dealer. May assist the affected business units in implementing changes to policy or procedure. May audit and evaluate current policies, procedures, and documentation for compliance with laws and regulations. Advise senior management of any gaps or deficiencies in compliance program and work together to address them. May prepare documentation and respond to requests for information by auditors or regulators.

Qualification and Experience

The candidate should have a Bachelor's degree and 4+ years of related experience. J.D. degree or MBA will be considered in lieu of some experience requirements. FINRA licensing Series 7 and Series 24 required. If not licensed, will have 6 months to complete licensing. Previous Registered Investment Advisor or Broker Dealer surveillance or operational experience is desired. ERISA and Retirement plan experience preferred. IT experience or Systems knowledge is an asset. Series 66 licensing preferred. Advanced PC skills including Excel, Access, and data mining a plus.

Additional info

Ref. #: 221051

Company info

Hiring Coordinator
Principal Financial Services, Inc
711 High Street
Des Moines, IA 50392