Compliance Advisor - Funds (Remote Opportunity)

Principal Financial Group

Houston Texas

United States

Customer Service / Call Center
(No Timezone Provided)

Responsibilities

As a Compliance Advisor within the Principal Funds Compliance Team, you will be supporting the Funds and the Fund Board. Within the Compliance team of Principal Funds, you will be responsible for investigating issues; building, testing and enhancing controls and procedures; building reporting processes from controls and procedures; conducting research; assisting with regulatory examinations and internal audits; monitoring rules and regulations and adherence to policies and procedures; identifying and mitigating areas of non-compliance; monitoring industry trends and practices; assisting with due diligence oversight of service providers or related suppliers; analyzing affiliated transactions and other trading activity of sub-advisers; collaborating with business partners to implement policies, procedures and processes; and serving as a mentor and resource for team members.

This position is also a great way to advance your career. As a growing company with over 16,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.

Qualifications

We are looking for someone with: 

  • Bachelor's degree or equivalent required
  • 5+ years related work experience with 40 Act and/or Advisers Act within the asset management industry required.
  • Familiarity with financial service products and markets, securities laws and regulations (SEC/other federal regulatory bodies/state).

    • Successful candidate will have the following:

  • Process improvement and system automation experience preferrred.
  • Experience working with 40 Act Funds, or institutional clients and managed accounts preferred.
  • Excellent communication, organization, analytical, attention to detail, problem solving, consulting, and relationship building skills.
  • Demonstrated ability to efficiently and effectively work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks required.

    • 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.

    https://www.uscis.gov/working-in-the-united-states/temporary-nonimmigrant-workers and https://www.uscis.gov/green-card/green-card-eligibility/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.

    #LI-Remote

    Compliance Advisor - Funds (Remote Opportunity)

    Principal Financial Group

    Houston Texas

    United States

    Customer Service / Call Center

    (No Timezone Provided)

    Responsibilities

    As a Compliance Advisor within the Principal Funds Compliance Team, you will be supporting the Funds and the Fund Board. Within the Compliance team of Principal Funds, you will be responsible for investigating issues; building, testing and enhancing controls and procedures; building reporting processes from controls and procedures; conducting research; assisting with regulatory examinations and internal audits; monitoring rules and regulations and adherence to policies and procedures; identifying and mitigating areas of non-compliance; monitoring industry trends and practices; assisting with due diligence oversight of service providers or related suppliers; analyzing affiliated transactions and other trading activity of sub-advisers; collaborating with business partners to implement policies, procedures and processes; and serving as a mentor and resource for team members.

    This position is also a great way to advance your career. As a growing company with over 16,000 employees around the world, Principal offers a lot of ways for you to learn more, earn more and achieve more.

    Qualifications

    We are looking for someone with: 

  • Bachelor's degree or equivalent required
  • 5+ years related work experience with 40 Act and/or Advisers Act within the asset management industry required.
  • Familiarity with financial service products and markets, securities laws and regulations (SEC/other federal regulatory bodies/state).

    • Successful candidate will have the following:

  • Process improvement and system automation experience preferrred.
  • Experience working with 40 Act Funds, or institutional clients and managed accounts preferred.
  • Excellent communication, organization, analytical, attention to detail, problem solving, consulting, and relationship building skills.
  • Demonstrated ability to efficiently and effectively work independently and within a collaborative team environment, take initiative, and effectively prioritize multiple tasks required.

    • 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.

    https://www.uscis.gov/working-in-the-united-states/temporary-nonimmigrant-workers and https://www.uscis.gov/green-card/green-card-eligibility/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.

    #LI-Remote

    Apply