Job Details

Chief Compliance Officer

Company name

Principal Financial Services, Inc

Organization Type


Job Type


Date Last Verified

Jul 16,2019

Valid Through

Oct 29,2019

Posted on

Mar 28,2019

Years of Experience

Min 10 yrs required


Des Moines, IA, United States

Employment Type



Practice Area
Corporate >> Corporate - General
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Chief Compliance Officer
The candidate will be responsible for developing strategy and overseeing all aspects of the compliance program in order to maintain compliance with legal and regulatory requirements. Using servant leadership principles, coaching and developing compliance staff to drive employee engagement and enablement. Collaborating with corporate compliance, internal audit and enterprise risk management to proactively identify, address and mitigate risk. Maintaining corporate commitment to ethics and provide excellent service to clients.

Qualification and Experience

The candidate must have Bachelor’s degree or equivalent experience required, and 10+ year’s relevant experience. Should have JD degree or MBA considered in lieu of some experience. Must have FINRA Series 7, 24, and 65/66 required. Must have six months from date of hire to complete. Must have deep expertise in numerous regulatory regimes (50 state insurance departments, 50 state securities departments, SEC, FINRA, MSRB, IRS and DOL). Must be able to understand often technically complex federal and/or state laws governing broker/dealer customer securities accounts and mutual fund shareholder account transactions and activities in addition to specific business unit and company product knowledge. Should have strong leadership and interpersonal skills. Must have excellent organizational, analytical, problem solving, presentation, written and oral communication skills. Must have basic PC skills with the ability to maintain a high degree of accuracy and pay strict attention to detail. Must be able to maintain a high degree of confidentiality.

Additional info

Ref #222749

Company info

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

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