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Senior Director, Regulatory Compliance
Il y a 2 mois
In this critical position, you will have the opportunity to work closely with both US and Global offices to ensure compliance with regulatory requirements.
Key Responsibilities:
- Review proposed funds and draft due diligence reports
- Coordinate with outside counsel and develop desk procedures
- Complete forensic testing and oversee compliance oversight
- Work with SMA platforms, including ad review AML
- Support distribution efforts with international affiliates
Requirements:
- Bachelor's degree or equivalent experience
- Experience with SharePoint Online, Microsoft Teams, and Red Oak a plus
- Knowledge of financial service products and markets, securities laws and regulations (SEC/FINRA/state/federal), and back office preferred
Benefits:
- Non-sales positions eligible for bonus program
- Sales positions eligible for sales incentives and bonus plan
- Flexible Time Off (FTO) for salaried employees
- Comprehensive, competitive benefit offerings
Principal Financial Group supports its employees with comprehensive benefits and a commitment to their well-being.
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