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Principal Marketing Compliance Specialist in Des Moines, Iowa

As a Marketing Compliance Specialist, you will conduct Supervisory reviews of marketing materials and communications across the various client segments and product platforms (i.e. US and International mutual funds, SMAs, CITs and ETFs) to assess and resolve compliance and operation risks in partnership with Marketing and Compliance leadership.

Here are a few examples of the kinds of things you'll do:

  • Lead Supervisory level reviews of marketing materials and formulate recommendations on proper course of action to resolve identified issues based on evaluation per risk management policies.

  • Input and maintain data record kept in compliance systems ensuring adherence to retention policy. Review quality assurance procedures and protocols. Identify and resolve discrepancies and/or incomplete records.

  • Prepare documentation to support reviews/investigations and corresponding outcomes/resolutions to substantiate and demonstrate adequate processes/controls to meet Mutual Fund Board/SEC/regulatory requirements.

  • Assist with the rollout of any compliance changes impacting marketing materials

  • Demonstrate proficiency in the areas of technical functions, formulating recommendations, independent decision making and effective communication. Foster collaboration and teamwork across the marketing and compliance teams.

  • Act as main Marketing and Investment/Distribution team representation in compliance review process. Must understand and have ability to synthesis varying viewpoints to move content forward in review process to final.

  • Prioritize and execute reviews against Marketing and business priorities.

We are looking for someone with:

  • Series 7, 63 and 24 required.

  • Bachelor's degree or equivalent, and 5+ years of work experience in a financial services organization, in marketing, communication, compliance or related field, required.

  • Ability to understand and apply regional regulatoryy guidance across product related marketing materials and communication across the various product platforms.

  • Able to manage expectations, attend to details, plan and handle multiple projects and prioritize effectively.

  • Knowledge of financial services market and products.

Successful candidate will have the following:

  • Ability to build and maintain strong relationships and negotiate.

  • Strong abilities in the areas of problem solving, project management, decision making, and communication (verbal and written), skills required.

  • Travel may be required up to 10% of the time.

Work Authorization/Sponsorship

At this time, we're not considering candidates that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States? This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links. and

Investment Code of Ethics

For Principal Global Investors positions, you’ll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

Experience Principal

While our expertise spans the globe, we're bound by one common purpose: to foster a world where financial security is accessible to all. And our success depends on the unique experiences, backgrounds, and talents of our employees – individually and all of us together. Explore our core values, benefits and why we’re an exceptional place to grow your career.

Principal is an Equal Opportunity Employer

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.


Requisition ID: 2021-32018

Enterprise Segment: PGI

Business Area: PGI Other

External Company Name: Principal Financial Group

Street: 801 Grand Ave

Remote: Yes

FLSA Status: Exempt