Broker Dealer Compliance Advisor - Team Lead - #222379


Principal Financial Group


Posted Under: Des Moines, Iowa jobs in Sales; Sales jobs in zipcode 50981
Posted On: 2019-01-10

Job Area: Compliance/Legal Business Area: Principal Securities Location: MN - Minneapolis;IA - Des Moines;NE - Omaha Career Category: Experienced Professional Full/Part Time: Full-Time Regular/Temporary: Regular Date Posted: 2018-12-05 Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Fun. Take YOUR leadership skills to the next level with a proven leader in the financial services industry! As an experienced leader, you understand it takes more than just a great product to build a successful business. Let's face it ...we're all here for one reason - to serve our clients' best interests. That takes collaboration, creativity, talent, passion and dedication. And it demands the best efforts of every employee. At Principal Financial Group, our employees help everyday people achieve extraordinary things and we are seeking a talented leader to continue growing excellence on our team. Responsibilities* As a Team Lead, you will lead a team of broker-dealer Compliance staff and be responsible for various aspects of the broker-dealer's compliance program. These responsibilities will include, among others, designing and implementing policies and procedures reasonably designed to ensure business is conducted in compliance with company policies and procedures and applicable laws.* Provide practical compliance guidance to internal business partners.* Research applicable laws, regulations and guidance and analyze their potential application to the broker-dealer.* Advise management on laws, rules and regulations and on issues that involve possible violations. Prepare and deliver written and oral presentations to management.* Report compliance program status and activities to Compliance and business management personnel.* Represent Principal Securities within the industry, to internal boards/committees, internal auditors, and to regulators.* Lead, develop and motivate staff in an environment that embraces change, risk identification and management, teamwork, timeliness and results. Qualifications* Bachelor's degree or equivalent, plus 8 to 10 years relevant experience required (compliance, legal, auditing, financial services).* Knowledge of the financial services market and products, securities laws (1933, 1934, and 1940 Acts) and regulations (SEC/FINRA/state/federal).* Extensive skill specific to broker-dealer compliance in:* Overseeing compliance programs;* Integrating and aligning compliance processes and procedures with business processes;* Monitoring sales practice and trading supervision;* Understanding trading function and common trading issues and exception processes;* Identifying and implementing controls and quality assurance processes;* Investigating relevant irregularities; and* Analyzing data for irregularities, linkages and trends. * Understanding of fundamental investment concepts, practices and procedures used in the securities industry as well as financial markets and products.* Knowledge of investment advisory compliance issues.* Must be able to work on tasks independently.* Must be able to build and maintain strong relationships and consult with individuals at all levels.* Strong abilities in the areas of problem solving, project management, decision making, communication (verbal and written), and leadership required.* Must be able to manage expectations, attend to details, handle multiple projects, and prioritize effectively with a focus on results.* FINRA Series 7 and 24 required (or 24 required within 6 months). Series 4 and 53 required within 12 months of hire.* Series 65 or 66 licensing a plus. Location Willing to consider candidates in our Des Moines, IA corporate headquarters location or virtually. Additional Information What's next? Innovation at its finest. We'll review your application and if you're selected for an interview, you'll receive an invite for a pre-recorded interview experience. Haven't done that before, don't worry. We've got all the tips and tricks available to help you be successful. With a pre-recorded interview, you can add your own flair and personality - at your pace. Be sure to check your email frequently. We'll communicate our decisions through the email address used on your online profile. If you receive an email from our Principal Talent Acquisition Team, you've been selected to begin your pre-recorded interview experience and have a set time to submit. Benefits designed with you in mind. Because each employee is unique, our benefit packages give you lots of choices. We offer comprehensive benefits that helps contribute to the healthy, fulfilling life and gratifying work experience you deserve, at an affordable cost. Click here to see just a few benefits you'll receive once you join our team. Not an exact match for this role? We've got a lot of opportunities, so check out some of the others. And creating an email alert on our career site will help you keep you connected and informed of opportunities you're interested in with a just a few clicks! Work Authorization/Sponsorship At this time, we're not able to consider candidates who would need sponsorship now or in the future or those needing work authorization for this role. (This includes students on F1-OPT, F1-CPT, J-1, etc.) However, we'd hope you continue to keep us in mind for other potential opportunities in the future. Principal is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to of 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. Investment Code of Ethics For positions with Principal Global Investors, you will be required to comply with a Code of Ethics which covers a number of obligations 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.

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