Compliance Analyst - Broker Dealer Product Support
Core
Supports compliance functions for Principal Securities and Principal Funds Distributor broker dealers by conducting regulatory research, interpreting developments, and identifying risk exposures related to domestic Principal products and services.
Role type
Mid-level compliance analyst (broker-dealer product support)
Builds
Compliance policies, procedures, reports, and filings for retirement, insurance, and asset management offerings
Domain
Financial services / Broker-dealer compliance / Regulatory affairs
Deliverable
Dashboards & analysis | client delivery | production ML models (N/A) -> production compliance artifacts
Required skills
Regulatory research, data analysis, policy drafting, risk assessment, reporting, process improvement
Preferred skills
FINRA licensing, product manufacturing/wholesale distribution broker-dealer experience, SQL, Tableau, Power BI
Technologies
Excel, SQL, Tableau, Power BI, Microsoft Office
Responsibilities
Conduct regulatory research on laws and standards (AML, KYC, GDPR); analyze compliance data to identify patterns and trends; assist in designing and drafting policies and procedures; participate in compliance testing and examinations; prepare reports and filings; monitor business activities to identify compliance risks; communicate findings and recommendations to stakeholders; support process enhancements.
Seniority
Mid-level, independent contributor