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What You'll Do

Principal is hiring for a Compliance Advisor to provide support to our advisory and wealth management business partners and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance program and supports the risk owners.

The position will serve as a compliance partner and business liaison and act as a subject matter expert with a focus on the advisory and wealth management activities within our dual registrant. This position will also provide advice and support on select business development initiatives and projects.

You will also:

+ Monitor regulatory changes and provide comprehensive research, analysis, and guidance on laws, regulations, and other complex compliance matters.

+ Evaluate compliance and business situations and clearly communicate guidance and decisions to business partners and management.

+ Participate on highly visible special projects critical to business unit and corporate growth initiatives and assist in crafting firm policy, standard operating procedures (SOP), and controls

+ Responsible for SEC filings (Forms ADV and CRS) for the RIA.

+ Leverage data to provide in-depth analysis and reporting to help guide decision-making processes.

+ Contribute to organizational learning by mentoring and coaching less experienced compliance professionals.

+ Partner with the business to help design creative solutions for complex customer needs and business processes.

+ Build and sustain strong relationships with colleagues throughout the enterprise.

+ Perform other job-related duties or special projects as needed.

Who You Are

+ 6+ years’ experience resulting in expertise in broker-dealer trading operations, compliance and the related governing laws and regulations

+ Bachelor’s degree, or equivalent,

+ FINRA Series 7, 24, 65 and/or 66 licenses are highly desired. If not fully licensed must be able to obtain within 6 months of start.

+ High level of understanding of the investment advisor environment

+ IACCP designation desired

+ Independent RIA (hybrid model) experience desired

+ Envestnet experience desired

+ Excellent written and oral communication skills

+ Advanced analytical, problem solving, and organizational abilities

+ High level of creativity and resourcefulness

+ Demonstrated application of robust data analysis and reporting capabilities, and risk management frameworks and concepts

+ Experience in assessing and implementing process improvements

+ Mentoring and coaching experience

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)

$100800 - $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 (https://www.uscis.gov/working-in-the-united-states/temporary-nonimmigrant-workers) and Green Card for Employment-Based Immigrants (https://www.uscis.gov/green-card/green-card-eligibility/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 (https://www.principal.com/about-us/careers) 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

3/27/2025

Most Recently Posted Date

4/25/2025

LinkedIn Remote Hashtag

\#LI-Remote