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SalaryWhat You'll Do:
This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). You’ll work with your leader to figure out which option may align best based on several factors.
Work Authorization/Sponsorship
Nonimmigrant Workers and Green Card for Employment-Based Immigrants
Investment Code of Ethics
Experience Principal
Principal is an Equal Opportunity Employer
The Principal Financial Group is seeking a Director, Compliance to help lead in our Corporate Ethics and Compliance area! As the Director, Compliance you’ll advise, develop, manage a team, and assist the Chief Compliance Officer in compliance standards for the SCBU and ensure operations meet legal and regulatory requirements.
In addition:
- Provide key assistance to CCO in oversight of compliance program to maintain compliance with state and federal requirements, including oversight of systems and development of programs to ensure they align with current laws.
- Lead, strategize, and provide oversight, management, and subject matter expertise for projects including initiatives associated with training, ethics surveys, ethics awareness, and The World’s Most Ethical Companies Annual application.
- Collaborate on projects with business partners/leaders in other areas to promote communications, training, and the overall Ethics and Compliance Program.
- Provide strategic feedback to optimize our Ethics and Compliance Program.
- Be responsible for initiatives to develop and implement employee communication and training promoting the Code, Principals core values, and an ethical workplace culture.
- Identify, recommend, and implement necessary changes to address weaknesses in the compliance program. Conduct benchmarking reviews to identify industry trends and innovative ways for improving our Compliance programs.
- Direct, develop and empower staff through selection, training, mentor, performance review, and salary administration.
- Provide technical advice and serve as SME across multiple BUs and SCBUs.
- Perform other job duties and special projects as the need arises.
- Bachelors degree with 8+ years of experience required; compliance, risk, ethics. JD or MBA considered in lieu of some experience
- Advanced risk assessment, analytical, interpersonal, research, decision making/organizational skills, and the ability to leverage data.
- Must be able to understand often technically sophisticated federal and/or state laws
- Broad knowledge of the Ethics and Compliance program, and experience with drafting compliance documentation including policies, standards, and procedures
- Excellent interpersonal, analytical/problem solving, presentation, written and oral communication skills
- Ability to maintain a high degree of confidentiality
Work Environments
This role offers in-office, hybrid (blending at least three office days in a typical workweek), and remote work arrangements (only if residing more than 30 miles from Des Moines, IA, or Charlotte, NC). You’ll work with your leader to figure out which option may align best based on several factors.
Work Authorization/Sponsorship
At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based Immigrants
Investment Code of Ethics
For Principal Asset Management positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.
Experience Principal
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site to learn more about our purpose, values and benefits.
Principal is an Equal Opportunity Employer
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Date First Posted (TTF): 3/1/2024 Latest Post Date: Careers - US: 3/1/2024 LinkedIn Remote Hashtag
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