Senior Broker-Dealer Compliance & Risk Advisor
Job in
Des Moines, Polk County, Iowa, 50319, USA
Listed on 2026-06-19
Listing for:
Principal Financial Group
Full Time
position Listed on 2026-06-19
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services, Banking Operations
Job Description & How to Apply Below
Principal Financial Group is seeking a Compliance Advisor in Des Moines, IA, to support broker-dealer operations and compliance. This role involves monitoring regulations, advising on business initiatives, and mentoring compliance professionals.
Candidates should have a bachelor's degree with 6+ years of experience in compliance and trading operations. A competitive salary range of $110,200 - $148,200 per year is offered, along with flexible time off and pension eligibility.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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