Job Description
**What You'll Do**
We're seeking an Assistant Director – Compliance to join the compliance team supporting Principal Funds Distributor, Inc. (PFD), an asset management mutual fund distributor and limited-purpose broker-dealer, and Principal Securities, Inc. (PSI), a dually registered broker-dealer and investment adviser. In this role, you will lead, coach, and develop compliance staff within the PSI/PFD Compliance Department, while evaluating workflows and responsibilities to ensure processes remain current, scalable, and operationally efficient.
**You'll have the opportunity to:**
+ Lead the practice group who administers a well-developed compliance risk assessment and carries out the related risk-based compliance testing program.
+ Coordinate reporting for PSI and PFD entities related to the various compliance testing programs, including those for FINRA 3120/3130, Advisers Act 206(4)-7 and DOL PTE Retrospective Reviews.
+ Lead the practice group accou...
We're seeking an Assistant Director – Compliance to join the compliance team supporting Principal Funds Distributor, Inc. (PFD), an asset management mutual fund distributor and limited-purpose broker-dealer, and Principal Securities, Inc. (PSI), a dually registered broker-dealer and investment adviser. In this role, you will lead, coach, and develop compliance staff within the PSI/PFD Compliance Department, while evaluating workflows and responsibilities to ensure processes remain current, scalable, and operationally efficient.
**You'll have the opportunity to:**
+ Lead the practice group who administers a well-developed compliance risk assessment and carries out the related risk-based compliance testing program.
+ Coordinate reporting for PSI and PFD entities related to the various compliance testing programs, including those for FINRA 3120/3130, Advisers Act 206(4)-7 and DOL PTE Retrospective Reviews.
+ Lead the practice group accou...