Emplois actuels liés à Compliance Director - RoumazièresLoubert, Nouvelle-Aquitaine - Principal Financial Group

We're seeking a seasoned Compliance Director to lead our asset management core compliance team. The ideal candidate will have extensive knowledge of regulatory requirements for SEC-registered investment advisers and deep experience implementing compliance and testing programs, as well as familiarity with private funds, private assets, wrap accounts, and real estate.

• Lead and mentor a remote team of talented compliance professionals covering core aspects of a registered investment adviser-focused compliance program.
• Provide mentorship on regulatory filings (US and international), such as Form ADV, Form PF, Section 16, Schedule 13G/D, 13H, etc.
• Ensure connectivity between compliance-risk assessment, policies and procedures, testing, controls, issue management, reporting, and training.
• Collaborate on the development of policies and procedures, risk matrix, balanced investing compliance, testing program implementation, and report.
• Liaise with various business areas (e.g., accounting, finance, investment teams, RFP, client services, privacy, risk, internal audit, and enterprise colleagues) and provide guidance on compliance policies and consulting on various US and international regulations affecting the business.
• Assist in Enterprise-driven initiatives and projects.

• Bachelor degree or equivalent experience, and 7+ years' meaningful work experience in asset management compliance, legal or regulatory field required.
• Strong understanding of compliance program framework, policy and procedure development and implementation, compliance-risk assessment, testing methodologies, and issue management.
• In-depth knowledge of SEC, FINRA, and other relevant regulatory requirements.
• Strong analytical skills and ability to highlight potential challenges and offer solutions.
• Excellent communication and interpersonal skills, capable of interacting optimally with colleagues, team members, senior management, and regulators.
• Ability to handle ambitious priorities optimally within a constantly evolving environment.
• Prior leadership of a team.

• IACCP, CCEP, or other relevant certifications, a plus.
• Proficiency in Power BI, SharePoint, or other data analysis skills/tools, a plus.

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: $153,000 - $207,000 / year.

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.

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.

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.

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.

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.