Compliance Director (Private Funds)
Posted on Sep 21, 2024 by Principal Financial Group
Des Moines, IA
Other
Immediate Start
Annual Salary
Full-Time
What You'll Do:
As a Director of Compliance in Principal Asset Management you’ll support Private Funds. This person will primarily support the private funds compliance program with both broker dealer and investment adviser responsibilities.
In this role you’ll have the chance to work with both US and Global offices!
Responsibilities include:
Provide compliance support for product development and distribution efforts in the global wealth channel including real estate investment trusts and private funds.
Review selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials
Draft and maintain due diligence reports on products, assist with regulatory filings for private funds
Develop compliance policies, procedures, questionnaires, and control recommendations to help mitigate compliance risks and prevent violations of applicable rules and regulations
Assist with compliance testing, AML, and other duties as assigned.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
Who You Are:
Bachelor's degree or equivalent experience required. JD or MBA helpful.
10+ years related work experience required including some combination of experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
FINRA licensing is required including the SIE or equivalent, series 7 and series 24.
Excellent written and verbal communication skills, consulting skills and the ability to build strong relationships.
Self-motivated with strong organizational, problem solving, and analytical skills with high attention to detail.
Comfortable providing consultation and direction to individuals at varying levels within the organization
Experience with SharePoint Online, Microsoft Teams, and Red Oak, a plus.
Work hours will occasionally be outside of normal business hours to support distribution efforts with international affiliates.
Travel, including overnight stays, may be required periodically.
Salary Range Information:
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Salary Range:
$(phone number removed) - $(phone number removed) / year
Time Off Program:
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible:
No
Additional Information:
Work Authorization/Sponsorship
At this time, we're not considering applicants 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 Asset Management 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
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our to learn more about our purpose, values and benefits.
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.
Posting Window:
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Date First Posted (TTF):
9/19/2024
Latest Post Date: Careers - US:
9/20/2024
LinkedIn Remote Hashtag
#LI-Remote
As a Director of Compliance in Principal Asset Management you’ll support Private Funds. This person will primarily support the private funds compliance program with both broker dealer and investment adviser responsibilities.
In this role you’ll have the chance to work with both US and Global offices!
Responsibilities include:
Provide compliance support for product development and distribution efforts in the global wealth channel including real estate investment trusts and private funds.
Review selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials
Draft and maintain due diligence reports on products, assist with regulatory filings for private funds
Develop compliance policies, procedures, questionnaires, and control recommendations to help mitigate compliance risks and prevent violations of applicable rules and regulations
Assist with compliance testing, AML, and other duties as assigned.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
Who You Are:
Bachelor's degree or equivalent experience required. JD or MBA helpful.
10+ years related work experience required including some combination of experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
FINRA licensing is required including the SIE or equivalent, series 7 and series 24.
Excellent written and verbal communication skills, consulting skills and the ability to build strong relationships.
Self-motivated with strong organizational, problem solving, and analytical skills with high attention to detail.
Comfortable providing consultation and direction to individuals at varying levels within the organization
Experience with SharePoint Online, Microsoft Teams, and Red Oak, a plus.
Work hours will occasionally be outside of normal business hours to support distribution efforts with international affiliates.
Travel, including overnight stays, may be required periodically.
Salary Range Information:
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Salary Range:
$(phone number removed) - $(phone number removed) / year
Time Off Program:
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible:
No
Additional Information:
Work Authorization/Sponsorship
At this time, we're not considering applicants 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 Asset Management 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
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our to learn more about our purpose, values and benefits.
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.
Posting Window:
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Date First Posted (TTF):
9/19/2024
Latest Post Date: Careers - US:
9/20/2024
LinkedIn Remote Hashtag
#LI-Remote
Reference: 202119264
https://jobs.careeraddict.com/post/95505193
Compliance Director (Private Funds)
Posted on Sep 21, 2024 by Principal Financial Group
Des Moines, IA
Other
Immediate Start
Annual Salary
Full-Time
What You'll Do:
As a Director of Compliance in Principal Asset Management you’ll support Private Funds. This person will primarily support the private funds compliance program with both broker dealer and investment adviser responsibilities.
In this role you’ll have the chance to work with both US and Global offices!
Responsibilities include:
Provide compliance support for product development and distribution efforts in the global wealth channel including real estate investment trusts and private funds.
Review selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials
Draft and maintain due diligence reports on products, assist with regulatory filings for private funds
Develop compliance policies, procedures, questionnaires, and control recommendations to help mitigate compliance risks and prevent violations of applicable rules and regulations
Assist with compliance testing, AML, and other duties as assigned.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
Who You Are:
Bachelor's degree or equivalent experience required. JD or MBA helpful.
10+ years related work experience required including some combination of experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
FINRA licensing is required including the SIE or equivalent, series 7 and series 24.
Excellent written and verbal communication skills, consulting skills and the ability to build strong relationships.
Self-motivated with strong organizational, problem solving, and analytical skills with high attention to detail.
Comfortable providing consultation and direction to individuals at varying levels within the organization
Experience with SharePoint Online, Microsoft Teams, and Red Oak, a plus.
Work hours will occasionally be outside of normal business hours to support distribution efforts with international affiliates.
Travel, including overnight stays, may be required periodically.
Salary Range Information:
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Salary Range:
$(phone number removed) - $(phone number removed) / year
Time Off Program:
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible:
No
Additional Information:
Work Authorization/Sponsorship
At this time, we're not considering applicants 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 Asset Management 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
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our to learn more about our purpose, values and benefits.
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.
Posting Window:
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Date First Posted (TTF):
9/19/2024
Latest Post Date: Careers - US:
9/20/2024
LinkedIn Remote Hashtag
#LI-Remote
As a Director of Compliance in Principal Asset Management you’ll support Private Funds. This person will primarily support the private funds compliance program with both broker dealer and investment adviser responsibilities.
In this role you’ll have the chance to work with both US and Global offices!
Responsibilities include:
Provide compliance support for product development and distribution efforts in the global wealth channel including real estate investment trusts and private funds.
Review selling agreements, fund offering materials, investor qualifications, subscription agreements, and advertising materials
Draft and maintain due diligence reports on products, assist with regulatory filings for private funds
Develop compliance policies, procedures, questionnaires, and control recommendations to help mitigate compliance risks and prevent violations of applicable rules and regulations
Assist with compliance testing, AML, and other duties as assigned.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
Who You Are:
Bachelor's degree or equivalent experience required. JD or MBA helpful.
10+ years related work experience required including some combination of experience with private placements, various US and offshore fund structures, real estate (debt and equity), high yield debt, and/or alternative lending.
FINRA licensing is required including the SIE or equivalent, series 7 and series 24.
Excellent written and verbal communication skills, consulting skills and the ability to build strong relationships.
Self-motivated with strong organizational, problem solving, and analytical skills with high attention to detail.
Comfortable providing consultation and direction to individuals at varying levels within the organization
Experience with SharePoint Online, Microsoft Teams, and Red Oak, a plus.
Work hours will occasionally be outside of normal business hours to support distribution efforts with international affiliates.
Travel, including overnight stays, may be required periodically.
Salary Range Information:
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Salary Range:
$(phone number removed) - $(phone number removed) / year
Time Off Program:
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don’t accrue a bank of time off under FTO and there is no set number of days provided.
Pension Eligible:
No
Additional Information:
Work Authorization/Sponsorship
At this time, we're not considering applicants 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 Asset Management 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
At Principal, we value connecting on both a personal and professional level. Together, we’re imagining a more purpose-led future for financial services – and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our to learn more about our purpose, values and benefits.
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.
Posting Window:
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
Date First Posted (TTF):
9/19/2024
Latest Post Date: Careers - US:
9/20/2024
LinkedIn Remote Hashtag
#LI-Remote
Reference: 202119264
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