Job Description

Responsibilities

As a Compliance Advisor within Principal Global Investors, you will support the Code of Ethics program. In this role you’ll have the chance to work with associates in our US and Global offices!

Responsibilities include:

Administration of Principal Global Investors’ Code of Ethics program focusing on personal securities accounts, personal trading, private investments, outside business activities, pay to play, political contributions, state procurement, gifts, and entertainment.
Assists with reporting for internal and external clients, researches and resolves flagged certifications and violations, provides guidance to team members
Maintains the compliance manual for areas of responsibility and creates desk procedures
Additional duties may include compliance oversight, forensic testing, vendor oversight, and other duties as assigned including work for the broker dealer.

This position is a phenomenal way to advance your career! As a growing company with over 18,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.

Qualifications

Bachelor's degree or equivalent experience required
5+ years related work experience required including some combination of experience with the topics identified above.
Excellent written and verbal communication skills, consulting skills and the ability to build strong relationships.
Self-motivated with strong organizational, prioritization, problem solving, and analytical skills with high attention to detail.

High level of professionalism and ability to explain information to individuals with varying degrees of understanding
Experience with SharePoint Online, Microsoft Teams, FIS Protegent PTA, and Red Oak, a plus.
Work hours will occasionally be outside of normal business hours to support international affiliates.
Will be required to become a non-registered fingerprint person with Principal Funds Distributor.
Travel, including overnight stays, may be required periodically.

Preferred Skills:

Previous compliance experience within the asset management industry preferred
Knowledge of financial service products and markets, securities laws and regulations (SEC/FINRA/state/federal), back office operations and trading systems preferred
FINRA licensing including the SIE, series 7, and series 24, a plus.