About this role
Compliance Advisor at Principal Financial Group. Location: Des Moines or Charlotte or Raleigh. Role: providing guidance, evaluating compliance, mentoring professionals Requirements: 6+ years compliance experience (mutual fund and/or insurance broker-dealer preferred); strong analytical, communication, data analysis, risk management, and mentoring skills; ability to interact with regulators and advise on complex securities and fund/insurance matters. Category: Legal and Compliance Seniority: Senior Level Certifications: finra representative, finra principal Commitment: Full Time Workplace: Hybrid Languages: English