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Principal Financial is hiring for a highly experience Assistant Director (AD), Compliance to support our Workplace Benefits products and services!
As the AD, Compliance for Workplace Benefits you will work closely with compliance leadership to design, implement, and operate a comprehensive compliance program consisting of policies, procedures, and consultative guidance to business partners. Help design and implement a compliance program to oversee business unit operations to reasonably ensure such activities are conducted in compliance with company policies, procedures, and applicable laws.
What you will do:
Develop, implement, and maintain compliance oversight policies and procedures reasonably necessary to ensure business unit activities comply with applicable policies, procedures and law. Lead efforts to provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters. Assist compliance leadership and business unit leaders with ongoing risk assessment to ensure all risks have been identified and responsive policies and procedures have been developed and implemented to mitigate risks to the extent reasonably practicable. Provide oversight and consultation on major projects and business unit initiatives. Actively participate in the coordination and implementation of compliance program examinations. Build and sustain strong relationships with senior business leaders and colleagues throughout the enterprise. Partner and serve as the subject matter expert across the Workplace Benefits Business Unit.
Who You Are
8 years related experience (financial services compliance experience preferred) Bachelor’s degree or equivalent experience, JD, or MBA considered in lieu of experience Excellent written and oral communication skills Advanced analytical, problem solving, and organizational abilities High level of creativity and resourcefulness Must be able to operate with minimal day-to-day direction and prioritize competing projects Strong negotiation, presentation, and interpersonal skills Demonstrated application of robust data analysis and reporting capabilities, risk management frameworks and concepts Experience in assessing and implementing process improvements Significant formal or informal mentoring, coaching, and leadership experience Experience interacting with regulatory bodies Deep expert knowledge and experience with Workplace Benefits products and services, and the related governing laws and regulations. Deep understanding of insurance business operations.
A highly qualified candidate will have:
12 years of experience providing compliance consulting in the insurance industry
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 (Non-Exempt expressed as hourly; Exempt expressed as yearly) $123000 - $150000 / 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. Pension Eligible Yes Additional Information 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 Immigrants 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. 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 Window We 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 Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline. Original Posting Date 2/5/2025 Most Recently Posted Date 2/5/2025
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