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

We are seeking a highly skilled Compliance Director to support our Private Funds compliance program with both broker-dealer and investment adviser responsibilities. This role will provide compliance support for product development and distribution efforts in the global wealth channel, including real estate investment trusts and private funds.

• Provide compliance support for product development and distribution efforts in the global wealth channel, including real estate investment trusts and private funds.
• Review selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials.
• Draft and maintain due diligence reports on products, assist with regulatory filings for private funds.
• Develop compliance policies, procedures, questionnaires, and control recommendations to help mitigate compliance risks and prevent violations of applicable rules and regulations.
• Assist with compliance testing, AML, and other duties as assigned.

• Bachelor's degree or equivalent experience required.
• 10+ years related work experience required, including some combination of experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
• FINRA licensing is required, including the SIE or equivalent, series 7 and series 24.
• Excellent written and verbal communication skills, consulting skills, and the ability to build strong relationships.
• Self-motivated with strong organizational, problem-solving, and analytical skills with high attention to detail.
• Comfortable providing consultation and direction to individuals at varying levels within the organization.
• Experience with SharePoint Online, Microsoft Teams, and Red Oak is 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.

At Principal Financial Group, we are committed to equal employment opportunity and consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.