Compliance Analyst PGI (Program, Filings, and Testing)

Job Locations US-IA-Des Moines
Posted Date 7 days ago(5/23/2023 4:07 PM)
Job #
Ent Seg
Bus Area
Pos Typ
Regular Full-Time

What You'll Do

The Compliance Analyst will be part of the global Compliance team, supporting the overall compliance program of Principal Asset Management.  The Compliance Analyst will collaborate with members of the global Compliance team, affiliates, and other key business stakeholders.  This role will primarily focus on regulatory filings, compliance testing, and risk management efforts, while working to enhance the overall compliance program. 

 Here are a couple things you will do:

  • Participate in compliance testing, risk monitoring, and issue management, building an understanding of how each aspect is affected by changes to policies, procedures, and regulations.
  • Engage in research, data gathering, validation, drafting, and submission efforts for various regulatory filings.
  • Collaborate on compliance-risk assessment, monitoring, and tracking.
  • Assist in the development, normalization, implementation, and integration of the compliance testing plan, including test scoping, sampling, and test execution.
  • Conduct transactional, periodic, and forensic testing of compliance policies and procedures.
  • Coordinate the follow-up and analysis of testing done by colleagues and develop management reporting toolsm, including compliance dashboard, metrics, and other reporting.
  • Assist with development of issue management action plans for matters identified through testing, and support validation of mitigation strategies and reporting.
  • Coordinate the development of desktop procedures and assess ways to improve or streamline processes.

This position is a phenomenal way to advance your career! As a growing company with approximately 20,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.


Who You Are

We're looking for someone with:


  • Bachelor’s degree or equivalent required
  • 3+ years relevant experience required in financial compliance, compliance program testing, or internal audit practices.
  • Compliance experience with an SEC-registered investment adviser, including in-depth knowledge of required regulatory filings (e.g., Form ADV, Form PF, Form CRS, Form 13H, etc.), preferred.
  • Experience and knowledge of SEC, FINRA, state securities regulators and various rules and regulations applicable to investment advisers.  High level understanding of global securities laws and regulations.
  • Knowledge of ESG compliance, ERISA, and CITs, a plus.
  • Experience with SharePoint Online, Microsoft Teams, PowerBI, Red Oak, FIS Protegent PTA, and/or ACA Compliance tools, a plus.

Successful candidate will have the following:

  • Strong written and oral communication skills.
  • Organizational skills with strong attention to detail, as well as analytical, problem solving, and relationship building skills and the ability to work in a team or individual setting.
  • Ability to efficiently and effectively research, compile, synthesize, and analyze information, work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks.
  • Ability to leverage data and think creatively to enhance existing processes

Salary Range Information

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

$71300 - $96000 / year

Additional Information

Work Authorization/Sponsorship

At this time, we're not considering candidates 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.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants

Investment Code of Ethics

For Principal Global Investors 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

While our expertise spans the globe, we're bound by one common purpose: to foster a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees – individually and all of us together. Explore our core values, benefits and why we’re an exceptional place to grow your career.

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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