Senior Compliance Analyst - Broker Dealer - Remote

Company: Principal
Location: Casper
Posted on: May 4, 2022

Job Description:

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 preferred.)
  • 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