Compliance Manager

At Principal Financial Group, we're seeking a highly skilled Compliance Manager to join our team. As a key member of our compliance team, you'll play a critical role in ensuring our company's compliance with regulatory requirements and industry standards.

• Provide compliance support for product development and distribution efforts in the global wealth channel, including real estate investment trusts and private funds.
• Review and analyze selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials to ensure compliance with regulatory requirements.
• Draft and maintain due diligence reports on products, assist with regulatory filings for private funds, and develop compliance policies and procedures to mitigate compliance risks.
• Assist with compliance testing, anti-money laundering (AML) initiatives, and other duties as assigned.

• Bachelor's degree or equivalent experience required.
• 10+ years of related work experience, including experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
• FINRA licensing, 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.

• Competitive salary range: $153,000 - $207,000 per year.
• Opportunity to participate in a bonus program for non-sales positions.
• Eligibility for sales incentives and bonus plans for sales positions.

Principal Financial Group is an equal opportunity employer and does not consider applicants who require immigration sponsorship at this time.

As a Principal Asset Management employee, you'll be required 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.

Principal Financial Group is an equal opportunity employer and welcomes applications from diverse candidates. We are committed to creating an inclusive work environment that values diversity and promotes equal opportunities for all employees.