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Compliance Analyst - #220619 more...
Location:Des Moines, IA
Company:Principal Financial
First posted:June 13, 2017

Job Area: Compliance/Legal
Business Area: PGI Other
Location: IA - Des Moines
Career Category: Experienced Professional
Full/Part Time: Full-Time
Regular/Temporary: Regular
Date Posted: 2017-06-12


At Principal®, every role supports a greater purpose to help people live their best lives. And after more than 130 years weve never had a more vibrant and dynamic global team united in our purpose.

Our employees are empowered to do their best work.  We care about more than just skillsets and job responsibilities. Were invested in helping our employees diversify their experiences, meet new challenges and reach bigger goals.  Working at Principal comes with many opportunities and paths for career growthall in the kind of welcoming, collaborative and community-spirited environment youll look forward to working in every day. 

In this role, you will be working as a member of a Compliance team that is responsible for the day-to-day administration of compliance related activities for Principal Global Investors.  You will be responsible for conducting forensic reviews relating to adherence to compliance policies, e-mail surveillance, marketing, etc. In addition, you may be called upon to assist in compiling and correlating compliance data, conducting research and analysis, and aiding in the development, implementation and maintenance of policies, procedures, and controls.


  • Bachelor's degree with emphasis in finance, accounting, legal or other business related field required. 
  • Proven abilities in the areas of written and verbal communications, problem-solving, decision making, analytics and ability to network and establish professional relationships.
  • 2-4 years of relevant industry experience (compliance, auditing, investments, and/or financial services)
  • An advanced degree may be considered in lieu of experience.
  • Knowledge of the investment regulatory environment, including SEC, CFTC, NFA, FINRA and other federal and state regulations, would be advantageous. 

This position is subject to SEC restrictions on personal investments and political contributions.

Investment Code of Ethics

You will be required to comply with a Code of Ethics which covers personal trading activities for you and members of your household.

Visa Sponsorship

This position is not eligible for sponsorship for work authorization by Principal. Therefore, if you will require sponsorship for work authorization now or in the future, we cannot consider your application at this time.

Background Check Requirements

Employment at Principal is contingent upon successful completion of a background check.

Background Check Requirements

Section 9(a) of the Investment Company Act of 1940 makes certain individuals ineligible for employment with mutual funds and their service providers such as investment advisor, transfer agent and underwriter. If offered this position, a criminal background check will be ordered to ensure that ineligible individuals are not hired to perform tasks for Principal Funds, Principal Management Corporation or Principal Funds Distributor.


Principal is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, gender identity, gender expression, pregnancy, national origin, citizenship status, disability, genetic characteristics, sexual orientation, marital status, domestic partner status, military status, protected veteran status, disability status or any other characteristic protected by law.

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