Director, Compliance - Retirement and Income Solutions
What You'll DoThe Principal Financial Group is seeking a Director, Compliance to help lead in our Retirement area! As the Director, Compliance you'll advise, develop, direct a team, and assist the Chief Compliance Officer for our Retirement and Income Solutions business.
In addition, you'll:
Provide key assistance to CCO in oversight of compliance program to maintain compliance with state and federal requirements, including oversight of systems and development of programs to ensure they align with current laws and regulations.
Provide technical advice and serve as SME regarding Department of Labor regulations, the Employee Retirement Income Security Act of 1974, Internal Revenue Service regulations, state insurance laws, and other requirements governing workplace retirement benefits.
Collaborate with senior business partners/leaders to provide consultive compliance expertise regarding business initiatives and processes.
Lead, strategize, and provide oversight, management, and subject matter expertise for compliance projects supporting the Retirement business.
Provide strategic feedback to optimize the enterprise Ethics and Compliance Program.
Be responsible for initiatives to develop and implement employee communication and training promoting the Code, Principal's core values, and an ethical workplace culture.
Identify, recommend, and implement vital changes to address weaknesses in the compliance program.
Establish and manage relationships with peers to identify industry trends and implement innovative ways for improving our Compliance programs.
Direct, develop and empower staff through strategic selection, training, mentorship, performance review, and salary administration.
Who You AreBachelor's degree or equivalent, plus 7
years of related experienceJD or MBA considered in lieu of some experienceKnowledgeable about the applicable compliance and legal issues, various company products and services, and department operationsCreative and self-directed with the ability to consider a wide range of factors in solving problemsExcellent leadership, negotiations, presentation, and organized.
Outstanding interpersonal, relationship-building, analytical, time management, and oral and written communications skillsDevelop and implement strategies that will help ensure compliance with applicable state and federal legislationFINRA licensing may be requiredSalary Range InformationSalary 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 (Non-Exempt expressed as hourly; Exempt expressed as yearly)$137000 - $185000 / year Time Off ProgramFlexible 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.
Pension EligibleYes Additional InformationWork EnvironmentsThis 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.
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.
For additional information around work authorization needs please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based ImmigrantsInvestment 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.
Check out our careers site to learn more about our purpose, values and benefits.
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.
Posting WindowWe will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received.
If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Estimated Salary: $20 to $28 per hour based on qualifications.
In addition, you'll:
Provide key assistance to CCO in oversight of compliance program to maintain compliance with state and federal requirements, including oversight of systems and development of programs to ensure they align with current laws and regulations.
Provide technical advice and serve as SME regarding Department of Labor regulations, the Employee Retirement Income Security Act of 1974, Internal Revenue Service regulations, state insurance laws, and other requirements governing workplace retirement benefits.
Collaborate with senior business partners/leaders to provide consultive compliance expertise regarding business initiatives and processes.
Lead, strategize, and provide oversight, management, and subject matter expertise for compliance projects supporting the Retirement business.
Provide strategic feedback to optimize the enterprise Ethics and Compliance Program.
Be responsible for initiatives to develop and implement employee communication and training promoting the Code, Principal's core values, and an ethical workplace culture.
Identify, recommend, and implement vital changes to address weaknesses in the compliance program.
Establish and manage relationships with peers to identify industry trends and implement innovative ways for improving our Compliance programs.
Direct, develop and empower staff through strategic selection, training, mentorship, performance review, and salary administration.
Who You AreBachelor's degree or equivalent, plus 7
years of related experienceJD or MBA considered in lieu of some experienceKnowledgeable about the applicable compliance and legal issues, various company products and services, and department operationsCreative and self-directed with the ability to consider a wide range of factors in solving problemsExcellent leadership, negotiations, presentation, and organized.
Outstanding interpersonal, relationship-building, analytical, time management, and oral and written communications skillsDevelop and implement strategies that will help ensure compliance with applicable state and federal legislationFINRA licensing may be requiredSalary Range InformationSalary 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 (Non-Exempt expressed as hourly; Exempt expressed as yearly)$137000 - $185000 / year Time Off ProgramFlexible 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.
Pension EligibleYes Additional InformationWork EnvironmentsThis 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.
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.
For additional information around work authorization needs please use the following links.
Nonimmigrant Workers and Green Card for Employment-Based ImmigrantsInvestment 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.
Check out our careers site to learn more about our purpose, values and benefits.
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.
Posting WindowWe will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received.
If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Estimated Salary: $20 to $28 per hour based on qualifications.
|
|
 | |
