More jobs:
Broker-Dealer Compliance Partner
Job in
Des Moines, Polk County, Iowa, 50319, USA
Listed on 2026-08-22
Listing for:
Principal Financial Services, Inc.
Full Time
position Listed on 2026-08-22
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
Principal Financial Services, Inc. is seeking a Compliance Advisor to support our Broker-Dealer program and strengthen our compliance posture.
This role acts as a second line of defense, partnering with the business, sharing subject-matter expertise in broker-dealer compliance, and guiding risk management initiatives. You will monitor regulatory changes, provide guidance, and contribute to the design of policies, SOPs, and controls, while mentoring junior staff and building enterprise-wide
#J-18808-LjbffrTo View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×