Compliance Director
il y a 6 jours
We are seeking an experienced Compliance Director to oversee aspects of compliance for our Trust Company and Investment Solutions-focused businesses, including ERISA regulations, collective investment trusts, OCIO services, liability-driven investments, derivatives, and other complex financial products and services.
Key Responsibilities:- Implement a comprehensive Trust Company compliance program, perform compliance-risk assessments, conduct testing, identify and correct issues, and provide training as needed.
- Develop policies and procedures for OCIO-specific fiduciary processes, including recommendations, affiliate product needs, conflicts of interest, and other relevant considerations.
- Perform testing and oversee compliance with GIC issuance rules, derivative rules, counterparty exposure, concentration limits, and client requirements.
- Monitor for ERISA compliance and disclosure requirements, including investor concentrations, QPAM, issuer limitations, and counterparty restrictions.
- Provide consulting for Product and Sales teams on complex trust company scenarios and unique product needs to ensure products align with applicable laws and regulations.
- Provide guidance on regulatory requirements and engage with Trust Company personnel, Investment Solutions team, OCIO colleagues, key stakeholders, business partners, regulators, and internal/external auditors.
- Bachelor's degree or equivalent experience, and 10+ years' of compliance experience in financial services/asset management, with a focus on retirement and investment products.
- Extensive knowledge of ERISA and DOL regulations, and strong understanding of 3(38) and 3(21) fiduciary responsibilities and prohibited transactions.
- Expertise in overseeing CITs, LDI, derivatives, and insurance products.
- Experience with OCIO solutions and related compliance considerations.
- Extensive experience with Trust Agreements, Participation Agreements, Investment Policy Statements, Service Provider Agreements, and other relevant documentation.
- Excellent analytical, problem-solving, and communication skills, as well as experience with compliance testing, Board reporting, and connecting with regulators.
- JD preferred.
- FINRA, CFA, CAMS, or other relevant certifications.
- A proven track record of building robust compliance programs for complex investment and retirement solutions.
- Ability to navigate the intricate regulatory landscape while enabling business growth and innovation.
- Strong relationship-building skills and the ability to influence at all levels of the organization.
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.
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.
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, or Charlotte, NC). You'll work with your leader to figure out which option may align best based on several factors.
Who We Are: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.
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.
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.
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.
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