Senior Compliance Analyst - Broker Dealer - Remote
Posted on: May 4, 2022
Principal is searching for top talent to join our team as a
Senior Compliance Analyst on the Product and Distribution
Compliance team! In this role, you'll analyze and interpret complex
legal, regulatory, and compliance issues. If you enjoy using your
analytical and critical-thinking skills this may be a great fit!
Additional responsibilities will include:
- Test and evaluate compliance and business processes and
communicate decisions to business partners and management.
- Craft creative solutions for complex business needs.
- Lead and participate on highly visible work critical to
business unit and corporate growth initiatives.
- Make strategic and operational recommendations.
- Contribute to organizational learning by leading, mentoring,
and coaching less experienced analysts.
- Build and maintain relationships with securities industry
regulators, financial professionals, and senior leadership. This
position is also a great 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. That's one reason we were named/recognized as one of Forbes
America's Best Employers. We're looking for someone with:
- Bachelor's degree or equivalent experience.
- 4+ years of relevant professional experience. (Broad
understanding of securities products and services strongly
- Previous compliance, legal or operational experience in a
financial services organization is preferred.
- Series 7 and 24 preferred, or the ability to obtain within 6
months of start date. Successful candidate will have the following:
- Proven written and verbal communications, decision making,
analytical, and organizational skills.
- Advanced analytical and problem-solving skills with high degree
of creativity and resourcefulness.
- Results-oriented with the ability to work both independently
and within a collaborative team environment.
- High level of creativity and resourcefulness.
- Advanced PC skills including spreadsheets, database management,
word processing, and web applications preferred. Salary ranges
below reflect targeted base salaries. Non-sales positions have the
opportunity to participate in a bonus program. Sales positions are
eligible for sales incentives, and in some instances a bonus plan,
whereby total compensation may far exceed base salary depending on
individual performance. Actual compensation for all roles will be
based upon geographic location, work experience, education,
licensure requirements and/or skill level and will be finalized at
the time of offer.
$58650 - $114000 / year
Work Authorization/Sponsorship At this time, we're not considering
candidates 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. and Investment Code of Ethics For Principal
Global Investors 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 While our expertise spans
the globe, we're bound by one common purpose: to foster a world
where financial security is accessible to all. And our success
depends on the unique experiences, backgrounds, and talents of our
employees - individually and all of us together. Explore our core
values , benefits and why we're an exceptional place to grow your
career. 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. #LI-Remote
Keywords: Principal, Casper , Senior Compliance Analyst - Broker Dealer - Remote, Sales , Casper, Wyoming
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