Assistant Director - Field Compliance & Business Support

What You'll Do

This role drives strategic compliance programs for the Registered Investment Adviser and Broker Dealer for the retail product and service distribution of Principal Securities by leading a practice group accountable for retail distribution support. Responsibilities include setting compliance practice group direction, conducting complex risk assessments, overseeing compliance monitoring, regular business and compliance project engagement, and advising senior leaders on regulatory developments applicable in the space.

The individual leads a practice group that contributes to policy and training strategies, leads process redesign, and collaborates across business areas. As a key liaison with Principals Securities, the role influences best practices. Additional responsibilities include setting team goals, developing staff, managing performance, fostering collaboration, and ensuring successful delivery of compliance initiatives across business units.

• Data Analysis
  - Systematically collect, interpret, and utilize data to ensure compliance. Analyze data to identify trends, patterns, and anomalies that could impact compliance. Use data insights to assess regulatory requirements, identify risks, and recommend improvements. Create detailed reports and visualizations to communicate findings. Support the development and execution of data strategies to enhance compliance insights and decision-making.
• Regulatory Research
  - Investigate, analyze, and interpret laws, regulations, and industry guidelines to support enterprise compliance. Monitor and evaluate legal and regulatory changes, assessing their potential impact on business operations and compliance programs. Research regulatory standards and best practices, contributing insights to enhance policy development and operational alignment. Communicate research findings and compliance requirements clearly to stakeholders across business units. Contributes to research prioritization and strategy, helping guide focus areas based on risk, regulatory trends, and business needs.
  
  Support the development and execution of regulatory change management processes, ensuring timely and effective implementation.
• Risk Management
  - Conduct risk assessments to identify potential compliance issues. Facilitate reporting of compliance risks across business units and geographies. Evaluate scenarios to determine the best course of action and offer strategic advice. Lead implementation of oversight programs to monitor and mitigate compliance risks. Review and approve deliverables using a risk-based approach to decision-making to support business goals while ensuring compliance with regulatory requirements and company policies.
• Communications/Reporting
  - Lead the development and execution of external communication strategies related to compliance matters, ensuring alignment with enterprise-wide messaging and brand standards. Serve as a key liaison with regulatory bodies, industry groups, and external stakeholders to advocate for the organization’s position on emerging regulatory issues. Collaborate with senior leadership to shape and deliver consistent, enterprise-level compliance messaging across business units and external platforms.
  
  Establish and oversee the communication and reporting strategy for compliance initiatives, ensuring timely, transparent, and effective dissemination of information to internal and external audiences.
• Process Improvements
  - Evaluate current compliance processes to identify inefficiencies and areas for improvement. Design and implement enterprise-wide or business unit compliance programs, policies, and controls that ensure regulatory adherence and support strategic business objectives. Lead and manage change initiatives to enhance…