Compliance Advisor

What You’ll Do

Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer 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. It serves as a compliance partner and business liaison, acting as a subject matter expert on broker-dealer trading operations, surveillance, and supervision, as well as on other business areas. The role also advises on select business development initiatives and projects.

• 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.
• Leverage data to provide in-depth analysis and reporting to help guide decision-making processes.
• Assist in preparing for and responding to regulatory exams and other inquiries.
• 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.

• Bachelor’s degree or equivalent; 6+ years’ experience resulting in expertise in broker-dealer trading operations, compliance, and related governing laws and regulations.
• FINRA Series 7 and 24 licenses highly desired; if not fully licensed, must be able to obtain within 6 months of start.
• 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.
• Ability to interact with regulatory bodies.

Targeted base salaries for non-sales positions. Actual compensation will be based on geographic location, work experience, education, licensure requirements, and skill level.

• Wichita, KS: $104,400 - $140,400 / year
• Des Moines, IA: $110,200 - $148,200 / year
• Charlotte, NC: $116,000 - $156,000 / year
• Chicago/Minneapolis: $127,600 - $171,600 / year
• Los Angeles/New York City: $139,200 - $187,200 / year

• Flexible Time Off (FTO) for salaried (exempt) employees, providing paid time for vacation, personal or short-term illness.
• Pension Eligible:
  Yes
• Work Authorization:
  At this time, we do not consider applicants who require immigration sponsorship to work in the United States.

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.