PRINCIPAL FINANCIAL GROUP Compliance Advisor-Team Lead (Surveillan in DES MOINES, Iowa

Compliance Advisor-Team Lead (Surveillance & Data Analytics) - #221779Job Area:Compliance/LegalBusiness Area:Principal SecuritiesLocation:AZ - Phoenix, CO - Denver, GA - Atlanta, IA - Des Moines, IL, MN, MO - Kansas City, NC, NE, TN, TX, WICareer Category:Experienced ProfessionalFull/Part Time:Full-TimeRegular/Temporary:RegularDate Posted:05/29/2018The prestige of a Fortune 500 company; the feel of a small business.At Principal, every role supports a greater purpose- to help people live their best lives. And after more than 130 years we've never had a more vibrant and dynamic global team united in our purpose.Our employees are empowered to do their best work. We care about more than just skillsets and job responsibilities. We're invested in helping our employees diversify their experiences, meet new challenges and reach bigger goals. Working at Principal comes with many opportunities and paths for career growth-all in the kind of welcoming, collaborative and community-spirited environment you'll look forward to working in every day.Responsibilities:The Compliance Advisor for the Surveillance team will lead a team to achieve efficient, timely, and cost-effective policies for the business unit to ensure compliance with state and federal laws and regulation affecting business unit products and services. In addition, will provide comprehensive analysis and guidance on complex compliance issues and develop innovative solutions to meet internal and external customer needs. Research and share legislative, regulatory and industry developments with business unit and affiliated company personnel.Additional responsibilities may include:Strategic leadership of the surveillance program for the broker dealer, life insurance company, and affiliated registered investment advisors.Building out a best in class compliance data analytics program that partners proactively with our business partners to reduce risk from trading activity, money movement, and fraudulent activity.Keep abreast of legislative and regulatory changes and make policy or procedure recommendations for records of the broker dealer, insurance company, or investment advisors.Prepare scheduled and ad-hoc reports independently and at the direction of senior management.Summarize findings of data reports and communicate to senior management in an easy to understand format, free of technical jargon.May prepare documentation and respond to requests for information by auditors or regulators.Perform other job-related duties or special projects as required.Qualifications:Skills required:Bachelor's degree or equivalent of 8 years' experience8+ years of related experience. JD or MBA considered in lieu of some experience requirements. (Proven risk management, compliance surveillance or data analytics experience.)Credentials required:Active FINRA Series 7 and 24 is preferred. If you do have active licensing, a Series 7 and 24 must be obtained within 6 months of start date.Successful candidates will have the following:Strong Microsoft Excel skills is required. Experience with SQL, Business Objects or other data visualization tools is preferred.Previous Life Insurance, Registered Investment Advisor or Broker Dealer compliance or operational experience.Broad legal and technical knowledge of pension laws & regulations, plan and contract provisions.High level of creativity and advanced analytical skills.Strong team building and leadership skills required.Must have excellent communication skills, including verbal, written and strong presentation skills.Limited travel required.Visa Sponsorship:This position is not eligible for sponsorship for work authorization by Principal. Therefore, if you will require sponsorship for work authorization now or in the future, we cannot consider your application at this time.Location:Our company headquarters are in Des Moines, IA with offices throughout the U.S. We are open to considering qualified candidates in any location.Principal is an Affirmative Action a