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Assistant Director-Compliance (Risk Assessment, Testing and Monitoring)

Principal Financial Group -
Remote

Apply Now

Job Details

Full-time
$127,000 - $171,000 a year
14 days ago

Qualifications

Team leadership
Employee relationship building

Full Job Description

What You'll Do:

We're seeking an Assistant Director – Compliance to join the compliance team supporting Principal Funds Distributor, Inc. (PFD), an asset management mutual fund distributor and limited-purpose broker-dealer, and Principal Securities, Inc. (PSI), a dually registered broker-dealer and investment adviser. In this role, you will lead, coach, and develop compliance staff within the PSI/PFD Compliance Department, while evaluating workflows and responsibilities to ensure processes remain current, scalable, and operationally efficient.

You'll have the opportunity to:

Lead the practice group who administers a well-developed compliance risk assessment and carries out the related risk-based compliance testing program.
Coordinate reporting for PSI and PFD entities related to the various compliance testing programs, including those for FINRA 3120/3130, Advisers Act 206(4)-7 and DOL PTE Retrospective Reviews.
Lead the practice group accountable for development and execution of compliance monitoring structure and activities.
Lead the practice group that serves as the primary compliance consultation contact for books and records, vendor management and technology regulations applicable to the supported firms.
Serve as the primary point of contact between the department and enterprise compliance risk and operational risk functions.
Participate as a member of the PSI/PFD Compliance Leadership Team in executing core compliance functions, including policy administration, training and initiatives, regulatory compliance, risk assessments, testing and monitoring, field compliance and business partner support.
Participate as a member of the PSI/PFD Compliance Leadership Team in setting and executing strategic objectives for the department and supporting strategic objectives of business partners.
Provide technical advice and subject matter expertise while working collaboratively with business partners.
Translate strategy into results with ability to work collaboratively with the broader PSI/PFD Compliance Team as well as other departments and business partners.
Manage day-to-day practice group operations while setting strategic vision for the team.
Develop, maintain, and evolve standard operating procedures.
Provide subject-matter support on aligned compliance policies, procedures and/or guidelines.
Ensure process workflows are efficient, and technology is appropriately utilized within your core functions.
Develop and maintain metrics and reporting to demonstrate quantity and quality of work performed.
Develop, mentor and motivate compliance staff through selection, training, performance review, salary administration and developmental plans.
Build bench strength and foster collaboration across the broader PSI/PFD Compliance Team.
Build cross-departmental relationships and provide opportunities for cross-functional training.
Establish industry relationships to bolster benchmarking and best practice awareness.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!

Who You Are:

8+ years of relevant financial services experience demonstrated through one or a combination of the following: work experience, training, military experience, or education
JD or MBA may be considered in lieu of some experience
Extensive knowledge of applicable compliance and legal issues, various company products and services, and department operations
Experience in a well-orchestrated second-line risk assessment and testing program
Creative and self-directed with ability to consider a wide range of factors in solving problems
Excellent leadership, negotiation, presentation, and organizational, skills required as well as superior interpersonal, relationship-building, analytical, time management, and oral and written communication skills
FINRA series 7, 24 and state 65/66 preferred

Salary Range Information: 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. Salary Range: $127000 - $171000 / year Time Off Program: Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided. Pension Eligible: Yes Additional Information:

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, Raleigh, NC 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): 6/18/2026 Latest Post Date: Careers - US: 6/18/2026

LinkedIn Remote Hashtag

: #LI-Remote

LinkedIn Hashtag

: #LI-MT1

Apply Now

Refine Your Search

Risk Management Assistant jobs

Assistant Director-Compliance (Risk Assessment, Testing and Monitoring)

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